Thrivent
Director Of Investment Operations - Auburn, WA
Thrivent, Mount Washington, Kentucky, United States, 40047
Director Of Investment Operations - Auburn, WA
Pay: Competitive Location: Mt Washington/Kentucky Employment type: Full-Time Job Description
Approach Path Financial Advisors is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Approach Path Financial Advisors 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. Position summary: The Director of Investment Operations position will oversee and direct the investment department including all team members, procedures and processes, evaluation of investment vehicles and make decisions to align the investment selections with the practice’s goals. Key responsibilities include management of team members, oversight of processes, preparation of financial plans, investment research and analysis, and coordination of client service needs with team members. The Director of Investment Operations reports to and is employed/contracted by the Financial Advisor. Position Roles/Responsibilities/Accountabilities Oversee workflow and job responsibilities of department team members Lead training and development for department team members Work with leadership to build out department infrastructure as needed Enter client information into various systems Prepare and update presentation materials for client meetings Research, evaluate, and select investments for practice’s investment models Research and respond to client inquiries Finalize, submit, and track all client account and application paperwork Gather and maintain customer suitability information Assist in generating performance reports Maintain information in CRM (Salesforce) system Fill out necessary forms for opening and maintaining accounts Handle request for transfers of funds in and out of accounts Identify and offer recommendations on how to optimize workflows Other responsibilities as assigned by the Lead Advisor Position Qualifications 2+ years industry experience Must be securities registered (series 7/63, 7/63/65 or 7/66) Must have series 7 at time of hire. All other licenses could be obtained with 180 days Must be appropriately insurance licensed/appointed for sale of all life/health and variable products Must be securities registered/insurance licensed/appointed in all states in which the candidate will be doing support work for Approach Path Financial Advisors 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 Approach Path Financial Advisors our products and services, and Thrivent Financial Competencies Planning/Organizing Analytical Thinker Client Focus Communication Interpersonal Skills Teamwork and Collaboration Adaptability/Flexibility External/Internal Dependencies Must be able to work with all roles of the Approach Path Financial Advisors Must be able to represent the organization in work with external clients Must be able to cultivate and maintain relationships with outside organizations Compensation Compensation varies based on the specific qualifications and experience of the individual with a target range of $65,000 to $90,000 – inclusive of bonus compensation. This position is eligible for team and individual bonuses ranging from 0-10% of annual salary and a monthly stipend toward health and retirement benefits for full time candidates. Compliance and Regulatory As part of Approach Path Financial Advisors 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 fingerprint records. All persons with access to Wealthscape are deemed Access Persons and are subject to Compliance with the firm’s Code of Ethics 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. 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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Pay: Competitive Location: Mt Washington/Kentucky Employment type: Full-Time Job Description
Approach Path Financial Advisors is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Approach Path Financial Advisors 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. Position summary: The Director of Investment Operations position will oversee and direct the investment department including all team members, procedures and processes, evaluation of investment vehicles and make decisions to align the investment selections with the practice’s goals. Key responsibilities include management of team members, oversight of processes, preparation of financial plans, investment research and analysis, and coordination of client service needs with team members. The Director of Investment Operations reports to and is employed/contracted by the Financial Advisor. Position Roles/Responsibilities/Accountabilities Oversee workflow and job responsibilities of department team members Lead training and development for department team members Work with leadership to build out department infrastructure as needed Enter client information into various systems Prepare and update presentation materials for client meetings Research, evaluate, and select investments for practice’s investment models Research and respond to client inquiries Finalize, submit, and track all client account and application paperwork Gather and maintain customer suitability information Assist in generating performance reports Maintain information in CRM (Salesforce) system Fill out necessary forms for opening and maintaining accounts Handle request for transfers of funds in and out of accounts Identify and offer recommendations on how to optimize workflows Other responsibilities as assigned by the Lead Advisor Position Qualifications 2+ years industry experience Must be securities registered (series 7/63, 7/63/65 or 7/66) Must have series 7 at time of hire. All other licenses could be obtained with 180 days Must be appropriately insurance licensed/appointed for sale of all life/health and variable products Must be securities registered/insurance licensed/appointed in all states in which the candidate will be doing support work for Approach Path Financial Advisors 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 Approach Path Financial Advisors our products and services, and Thrivent Financial Competencies Planning/Organizing Analytical Thinker Client Focus Communication Interpersonal Skills Teamwork and Collaboration Adaptability/Flexibility External/Internal Dependencies Must be able to work with all roles of the Approach Path Financial Advisors Must be able to represent the organization in work with external clients Must be able to cultivate and maintain relationships with outside organizations Compensation Compensation varies based on the specific qualifications and experience of the individual with a target range of $65,000 to $90,000 – inclusive of bonus compensation. This position is eligible for team and individual bonuses ranging from 0-10% of annual salary and a monthly stipend toward health and retirement benefits for full time candidates. Compliance and Regulatory As part of Approach Path Financial Advisors 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 fingerprint records. All persons with access to Wealthscape are deemed Access Persons and are subject to Compliance with the firm’s Code of Ethics 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. 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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