Offer summary

Qualifications:

College degree or equivalent industry experience required., 1-5 years of related experience in compliance or supervision roles., FINRA licenses: Series 7, 63/65 or 66 and 24 are required or must be obtained within 90 days of hire., Strong analytical, organizational, and communication skills are essential. .

Key responsabilities:

Supervise field registered representatives to ensure compliance with policies and regulations.

Collaborate with Senior Field Risk Managers and other stakeholders to detect risks and supervise activities.

Assist with internal investigations, member complaints, and regulatory inspections as needed.

Communicate findings clearly to stakeholders and document concerns appropriately.

Job description

This position is responsible for supervision of the firm’s field registered representative activities.

This position handles routine supervision work and may provide support to others during regulatory investigations or audits. It requires compliance knowledge to help limit the firm’s exposure to liability.

Job Duties and Responsibilities

Conducts activities to supervise field registered representatives to help ensure compliance with Thrivent’s Policies, Thrivent Investment Management, Inc.’s Compliance Manual, Written Supervisory Procedures, and rules and regulations of all 50 states, FINRA, and the SEC.
Collaborate and build relationships with Senior Field Risk Managers, other supervision colleagues and management, field leadership, registered representatives, and other applicable areas to help effectively detect risk and supervise field registered representative activities. May support and conduct delegated supervisory activities from Senior Field Risk Managers.
May provide assistance or support regarding internal RR investigations, member complaints, or regulatory inspections.
Gathers and synthesizes information in meaningful manner.
Exercise good judgment and apply compliance/policy knowledge to field RR activities to draw conclusions, recommend appropriate actions, and/or escalate to appropriate persons as applicable.
Clearly and succinctly communicate findings to supervision colleagues, business partners and/or representatives in manner that helps stakeholders understand the rationale and related next steps.
Identify, address, and document concerns, escalating when appropriate.
May provide assistance to management, Enterprise Supervision, and Compliance regarding escalated concerns.
May need to balance competing demands under time constraints.

Required Job Qualifications

College degree or equivalent industry experienced required
1-5 years related experience
FINRA licenses: Series 7, 63/65 or 66 and 24 are required or must be obtained within 90 days of hire
Knowledge of, and ability to interpret and apply, insurance, broker/dealer and investment adviser regulatory requirements
Solid decision-making ability
Excellent written and verbal communication skills
Analytical and organizational skills
Attention to detail and excellent follow through.
Willingness to travel up to 10%

Pay Transparency

Thrivent’s long-term growth depends on attracting, rewarding, and retaining people who are committed to helping others thrive with purpose. We accomplish this by offering a wide variety of market competitive compensation programs to attract, reward, and retain top talent. The applicable salary or hourly wage range for this full-time role is $62,633.00 - $84,739.00 per year, which factors in various geographic regions. The base pay actually offered will be determined by a variety of factors including, but not limited to, location, relevant experience, skills, and knowledge, business needs, market demand, and other factors Thrivent deems important.

Thrivent is unique in our commitment to helping people to be wise with money and live balanced and generous lives. That extends to our benefits.

The following benefits may be offered: 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, and other employee benefits. Eligibility for receipt of these benefits is subject to the applicable plan/policy documents. Thrivent’s plans/policies are subject to change at any time at Thrivent’s discretion.

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.