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Securities Support Associates

    • Jupiter, Florida
  • Financial Advisor
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Description

This position provides securities licensed administrative support to Watermark Financial Group. This position serves as a resource to Financial Advisors and client/members in handling, researching and communicating inquiries regarding their accounts and supports the daily operations of the practice, including, but not limited to: answering the phones, meeting/greeting members, handling/distributing postal mail and practice email, ordering supplies, utilizing Thrivent Financial computer systems and programs in support of client relations, supporting securities related tasks, and other administrative tasks as assigned. The Securities Support Associate reports to and is employed by Sarah Davis.

Compensation: $50-52,000 annually
Benefits:
- 10 days vacation
- Sick Time
- 13 Federal Holidays
- Simple IRA with 3% match available after 6 months

Position Roles/Responsibilities/Accountabilities

  • Handles incoming telephone calls to Watermark Financial Group and responds to requests for information
  • Researches inquiries regarding customer/member 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
  • Performs routine administrative duties such as maintaining office supplies and processing mail
  • Prepares or coordinates the preparation of routine correspondence, reports, and special projects of a routine nature
  • Supports projects, administration of various programs, and processing functions as needed
  • Drive customer/member facing activity in the practice by scheduling meetings with customer/members on behalf of the practice’s Financial Advisors
  • Updates the contact management system with customer/member contact and preference information
  • Assist Financial Advisors in the preparation and follow up for the customer/member meetings
  • Collaborate with financial associates to assist customer/member to purchase, sell, hold or exchange securities products
  • Participate and drive marketing services including direct-mail, fraternal activities, seminars, meetings
  • 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 customer financial and/or suitability information
  • Accepting and/or entering securities trade orders from customers, including unsolicited trade orders
  • Support questions and transactions with variable insurance and annuities products, if appropriately licensed
  • Additional responsibilities may be assigned in accordance with licensure and business needs
  • Manually enter information provided by the FA into electronic application systems and email, lock sign or submit.
  • Note CAN NOT be listed as the servicing representative AND need to note their FA is selling agent within the rep questionnaire.

Position Qualifications

  • Previous administrative/secretarial experience desired
  • Must be securities registered (i.e. 7 & 66 or 6 & 63).
  • Must be securities registered in all states in which the candidate would be doing support work for Watermark Financial 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 Watermark Financial Group, our products and services, and Thrivent Financial

Competencies

  • Planning/Organizing
  • Customer Focus
  • Communication
  • Interpersonal Skills
  • Teamwork and Collaboration
  • Adaptability/Flexibility

External/Internal Dependencies

  • Must be able to work with all roles of the Watermark Financial 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 Watermark Financial Group's recruiting/hiring/contracting process, a verification of a candidate's background will be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.

All persons with securities registrations are subject to TIMI’s Outside Securities Accounts Policy which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI.

Thrivent provides Equal Employment Opportunity (EEO) without regard to race, religion, color, sex, gender identity, sexual orientation, pregnancy, national origin, age, disability, marital status, citizenship status, military or veteran status, genetic information, or any other status protected by applicable local, state, or federal law. This policy applies to all employees and job applicants.

Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation, please let us know by sending an email to  human.resources@thrivent.com  or call 800-847-4836 and request Human Resources.

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Securities Support Associates

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Our DEI Perspective

At Thrivent, we know our organization is strengthened when we have a diverse team that reflects our clients and builds on the diverse perspectives of others.

We believe that humanity thrives when people make the most of all they've been given, which includes our history, heritage, individual and collective experiences. Take a moment to pause with us, reflect on where Thrivent is at in our DEI journey and look forward to the future in anticipation of great things to come.

Read our Diversity, Equity & Inclusion Report

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