Senior Brokerage Operations Professional

Role Overview

• Execute end‑to‑end operational support for Experienced Advisor transitions, including account repapering, broker‑dealer change processing, and related onboarding activities
• Maintain working knowledge of brokerage products, services, systems (including National Financial Services (NFS) and Thrivent platforms), and applicable operational policies and controls
• Manage multiple transition cases simultaneously, tracking milestones, resolving issues, and ensuring timely and accurate completion
• Provide clear, accurate, and timely communication to experienced advisors, business partners, and internal teams regarding transition status and requirements
• Partner cross‑functionally with Distribution teams such as Advisor Transitions and Recruiting, Operations, Compliance, and Digital, Data and Technology (DD&T) to coordinate handoffs and minimize onboarding friction
• Support process improvement efforts and assist team members with processing activities as volumes warrant

Requirements

• College degree or High School diploma with equivalent brokerage or advisory operations experience
• 3+ years of brokerage, advisory, or financial services operations experience
• FINRA Series 7 required
• FINRA Series 65 or 66 required
• Strong written and verbal communication skills with the ability to explain complex operational requirements
• Proficiency in Microsoft Office 365 and applicable brokerage systems

Tech Stack

• NFS

Benefits

• various bonuses (including, for example, annual or long-term incentives)
• medical, dental, and vision insurance
• health savings account
• flexible spending account
• 401k
• pension
• life and accidental death and dismemberment insurance
• disability insurance
• supplemental protection insurance
• 20 days of Paid Time Off each year
• Sick and Safe Time
• 10 paid company holidays
• Volunteer Time Off
• paid parental leave
• EAP
• well-being benefits
• other employee benefits