Summary
Organization/Business Overview:
Sandlapper Group is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our members achieve multiple financial goals. Sandlapper Group helps our members analyze their current situation, develop in-depth financial programs, and help them implement an integrated financial strategy.
Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial. Thrivent Financial is a faith-based, not-for-profit financial services organization with approximately 2.6 million members. 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 member activities we support, and the resources we provide to the Christian community and nonprofit organizations.
Position summary:
This position provides securities licensed administrative support to Sandlapper 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 Client Service Administrator reports to and is employed by the Financial Advisor.
This position can be either full time or part time in hours. Compensation ranges from $22-26/hr depending upon licensing and experience.
FINRA Securities Licensing required for this position. This is an administrative position and not a sales role.
Job Description
Position Roles/Responsibilities/Accountabilities
- 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
- 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
- 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
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 Sandlapper 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 Sandlapper 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 Sandlapper 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 Sandlapper 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.
