Securities Support Associate

• Provide securities-licensed administrative support to Your Journey Financial Advisors
• Serve as a resource to Financial Advisors and client/members for account inquiries
• Handle, research, and communicate account-related inquiries
• Support daily brokerage operations, including new account processing, account servicing, operational support, advisor/client support, process improvement, and securities-related tasks
• Facilitate brokerage account openings, onboarding, and account transfers
• Process account servicing transactions, including beneficiary updates, ownership changes, contact information updates, trust/entity account changes, retirement account transactions, and asset movement requests
• Support brokerage transactions such as distributions, deposits, and stock gifts
• Prepare account information and documentation for advisor and client appointments
• Serve as the primary contact for operational inquiries and communicate account status, outstanding items, and service updates
• Resolve account and operational issues with advisors, clients, custodians, and home office teams
• Monitor workflows, maintain accurate records, and support compliance, audit, and documentation requirements
• Deliver advisor and client service and provide backup support for business continuity
• Identify process improvements, document best practices, support team training, and contribute to advisor and client experience initiatives
• Report to and be employed by Your Journey Financial Advisors

• Must hold FINRA Series 7 and 66 licenses, or Series 7, 63, and 65 combination
• Must maintain registration in all states where support is provided for Your Journey Financial Advisors
• 3+ years of experience in brokerage, wealth management, RIA, or financial services operations
• Strong knowledge of brokerage account servicing, investment operations, and advisory account structures
• Ability to manage multiple priorities, meet deadlines, and maintain accuracy and attention to detail
• Strong technical aptitude, including proficiency with business systems, technology platforms, and operational tools
• Excellent written and verbal communication skills with a client-focused approach to service, responsiveness, and problem-solving
• Experience with Envestnet, brokerage trading platforms, and related technology solutions (preferred)
• Experience supporting financial advisors and high-net-worth clients (preferred)
• Familiarity with Thrivent operational systems, processes, and service models (preferred)
• Background verification required as part of the recruiting, hiring, and contracting process
• Fingerprints required for the FINRA registration process
• Outside brokerage accounts must comply with TIMI’s Outside Securities Accounts Policy

Demonstrates expertise in brokerage account servicing and investment operations, with a strong focus on client service and operational support. Proficient in managing multiple priorities while ensuring compliance and accuracy in financial services operations.

• FINRA Series 7 License
• FINRA Series 66 License
• Brokerage Account Servicing
• Investment Operations
• Client-Focused Communication

• Client Service
• Responsiveness
• Communication Skills
• Team Collaboration
• Adaptability

• FINRA Series 63 License
• FINRA Series 65 License

• Wealth Management
• RIA
• Financial Services Operations
• High-Net-Worth Clients
• Thrivent Operational Systems

• Envestnet
• Brokerage Trading Platforms
• Operational Tools
• Business Systems
• Technology Platforms