Securities Support Associate

Shoreline Group is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Shoreline Group helps our clients analyze their current situation, develop in-depth financial programs, and help them implement an integrated financial strategy.

Thrivent Financial is a faith-based, not-for-profit financial services organization with approximately 2.6 million clients. As the nation's largest fraternal benefit society, we're here solely to help others. We help every day through the financial solutions we offer, the client activities we support, and the resources we provide to the Christian community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial.

Position summary:

This position provides securities-licensed administrative and client service support to Shoreline Group. The Securities Support Associate partners with Financial Advisors to deliver a responsive client experience, complete securities-related activities within the scope of applicable registrations, and support efficient daily practice operations. The position reports to and is employed by Shoreline Group.

This is an in-office position located at either the Madison or Burlington, WI office. Hours of operation are 8 a.m. to 5 p.m. Monday to Friday. Benefits include:
Medical, Dental, Vision, Long-Term Disability, Short-Term Disability, Accidental Death & Dismemberment, Life Insurance, Simple IRA with employer match, Holiday Pay, and PTO. Compensation is $55,000-$75,000 dependent upon licensure and experience.

Position Roles/Responsibilities/Accountabilities Handles incoming telephone calls to and responds to requests for information

Researches inquiries regarding client accounts

Provides fund values and answers other securities (including, if appropriately licensed, variable insurance and annuities) product-related questions and/or questions related to investment advisory services

Prepares or coordinates the preparation of routine correspondence, reports, and special projects

Supports projects, administration of various programs, and processing functions as needed

Updates the contact management system with client contact and preference information

Assist FA in the preparation and follow up for the customer/member meetings

Collaborate with FAs to assist client’s to purchase, sell, hold or exchange securities products

Verbal or written communications with prospective or existing customers regarding financial matters

Conducting substantive research or information gathering that will be used with making securities product recommendations or providing investment advice (e.g. conducting due diligence, etc.)Obtaining client financial and/or suitability information

Accepting and/or entering securities trade orders from customers, including unsolicited trade orders

Manually enter information provided by the FA into electronic application systems and email, lock sign or submit.

Additional responsibilities may be assigned in accordance with licensure and business needs Position Qualifications Previous administrative/secretarial experience desired

Must be securities registered (i.e. 7/63/65 or 7/66).Must be securities registered in all states in which the candidate would be doing support work for Shoreline Group Demonstrated customer service orientation/experience, 2+ years preferred

Strong technical computer aptitude and knowledge of business tools (e.g., Microsoft Word, Excel, PowerPoint) or ability to learn

Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions

Ability to maintain integrity of sensitive/confidential information

Basic understanding of our products, services, and Thrivent Financial Competencies Planning /Organizing Client Focus Communication Interpersonal  Skills Teamwork and Collaboration Adaptability/Flexibility External/Internal Dependencies Must be able to work with all roles of the Shoreline Group Must be able to represent the organization in work with external clients

Must be able to cultivate and maintain relationships with outside organizations

As part of Shoreline Group's recruiting/hiring/contracting process, a verification of a candidate's background will be made to complete the hiring/contracting process. In addition, fingerprints will be taken for submission to the Federal Bureau of Investigation for review against nationwide…