Associate - West Advisor Group

Overview

This role provides licensed financial and non-financial support to a sponsoring financial advisor and serves as a resource to other Financial Advisors. The position focuses on securities and investment advisory products and services, as well as fixed and variable life, health, and annuities products (coverage and advice provided vary based on level of licensure).

Responsibilities may include supporting business and marketing planning to acquire, cultivate, and retain members; prospecting and marketing; case and proposal preparation; referral generation; and helping build a sense of community with members and prospects.

Depending on licensure, the associate reports to and is employed/contracted by the sponsoring financial advisor. FINRA and insurance licensure sponsorships apply to required registrations and licensing.

Responsibilities

• Handle sensitive communications with members/customers, including highly confidential information, and respond effectively via verbal and written communication to ensure high customer satisfaction
• Facilitate and/or co-present product-specific seminars and/or workshops as necessary
• Identify criteria for fund selection and track against indexes, specifically for WRAP accounts
• Participate in business planning for the practice as needed
• Counsel and advise prospective and current members/customers on suitable financial products and investment advisory services
• Open and complete product applications
• Conduct substantive research and information gathering used for suitable securities product recommendations or appropriate investment advice (e.g., due diligence)
• Obtain member/customer financial and/or suitability information
• Accept and/or enter securities trade orders from customers, including unsolicited trade orders
• Explain, discuss, or interpret insurance coverage; analyze exposures or policies; provide recommendations
• Issue certificates of insurance, endorsements, binders, commitments, or insurance contracts
• Assist financial representatives with preparation for member/customer meetings and follow-up
• Collaborate with financial representatives to assist clients with product changes
• Support marketing services, including direct mail, fraternal activities, seminars, and meetings
• Perform additional responsibilities as assigned in accordance with licensure and business needs

Requirements

• Associates can be fully licensed, securities licensed, or insurance licensed. Depending on role, the associate must be:
  • Securities registered (series 7 & 66 or 6 & 63) or willing to do so within 120 days of hire/contract
  • Appropriately insurance licensed/appointed for sale of all life/health and variable products
  • Securities registered/insurance licensed/appointed in all states where support work is performed for the sponsoring financial advisor
  • Willing to complete appropriate state training to sell Long Term Care if determined to be part of the position or support needs for the sponsoring financial representative
• Demonstrated customer service orientation/experience (2+ years preferred)
• Ability to handle multiple tasks while maintaining a high-quality work product despite frequent interruptions
• Ability to maintain integrity of sensitive/confidential information
• Basic understanding of the sponsoring financial advisor’s products and services, and Thrivent Financial
• Previous administrative/secretarial experience desired

Preferred Qualifications (if applicable)

• 2+ years of demonstrated customer service experience
• Previous administrative/secretarial experience

Competencies

• Planning/Organizing
• Analytical thinking
• Customer focus
• Communication
• Interpersonal skills
• Teamwork and collaboration
• Adaptability/Flexibility

Additional Notes / Screening

• Must be able to work with all roles of the sponsoring financial advisor
• Must be able to represent the organization when working with external clients
• Must be able to cultivate and maintain relationships with outside organizations
• As part of the sponsoring financial advisor recruiting/hiring/contracting process, background verification will be conducted; fingerprints are required as part of the FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.

Compensation & Benefits

Pay transparency information and Equal Employment Opportunity statement apply. Reasonable accommodation is available for individuals with disabilities.

Location

Remote