Job Duties and Responsibilities

• Build and maintain a high-performing team. Select, develop, coach, reward and recognize team members.
• Assist in development of the team’s business plan; set and communicate goals, focus on continuous improvement outcomes, lead team efforts, monitor individual and team performance and take action as appropriate.
• Identify, monitor, and react to sales practice behaviors and trends. Exercise good judgment and decision making and know when it is appropriate/necessary to escalate concerns to Investigations, Field Risk Managers, Enterprise Supervision and Distribution Leadership.
• Interact with compliance, legal, and other business partners to assess effectiveness of policies and procedures with regards to current and/or new regulations.
• Utilize product and regulatory knowledge relating to the requirements for financial advisors selling insurance and securities products and/or providing advisory services, to limit the firm’s exposure to regulatory action and financial liability.
• Serve as a subject matter expert on audits, regulatory inquiries, including special projects and initiatives.
• Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening Thrivent’s trusted reputation.
• Recruit and retain individuals whose skills, knowledge and abilities are congruent with the job responsibilities and with the organization’s mission, vision and values.
  

Required Job Qualifications

• Bachelor’s degree required or equivalent relevant experience
• Advanced degree and/or professional credentials preferred
• 5+ years industry experience in supervision, compliance, or operations
• Demonstrated ability to lead others, people leadership experience
• Strong knowledge of insurance, securities, and investment adviser products/services
• Strong knowledge of, and ability to interpret and apply, insurance, broker/dealer and investment adviser regulatory requirements
• Demonstrated solutions-oriented decision-making abilities, and successful experience applying reasonable judgement
• Excellent written and verbal communication skills, and ability to influence without direct authority
• Demonstrated ability to work independently and meet deadlines in a fast-paced, changing environment
• FINRA Series 4, 7, 24, 51, 52(for individuals that passed the Series 7 after 11/7/2011), 66 or 63/65 required or obtained within 90 days of hire/transfer or a combination thereof as determined by the Director and dependent upon specific job responsibilities.

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.