Securities Support Associate
Core
Provide licensed administrative support for brokerage accounts, handling inquiries, processing transactions, and ensuring compliance for financial advisors and clients.
Role type
Securities Support Associate (licensed)
Builds
Brokerage account servicing and operational support for financial advisors
Domain
Financial Services / Wealth Management
Required skills
FINRA Series 7 and 66 licenses, brokerage account servicing, investment operations, regulatory compliance, account transfers, beneficiary updates, asset movement, process improvement
Preferred skills
Envestnet proficiency, Thrivent systems familiarity, high-net-worth client support
Technologies
Thrivent computer systems, Envestnet, brokerage trading platforms
Responsibilities
Facilitate brokerage account openings, onboarding, and transfers; Process account servicing transactions including beneficiary updates and asset movements; Support brokerage transactions like distributions and stock gifts; Prepare account documentation for advisor/client appointments; Resolve operational issues with advisors and custodians; Monitor workflows and maintain compliance records; Identify process improvement opportunities
Seniority
Mid-level, hands-on IC