Principal

This principal position is responsible for the routine supervision and surveillance of the firm’s insurance, securities, and/or investment advisory business. The position requires the technical knowledge and product expertise to limit the firm’s exposure to financial liability. Principals are tasked with ensuring compliance with Thrivent Financial for Lutherans policies, Thrivent Investment Management, Inc.’s Compliance Manual and Written Supervisory Procedures, and rules and regulations of all 50 states, FINRA, and the SEC. The position requires basic knowledge of investment and insurance products. The position requires the ability to exercise judgment and take calculated risks. Principals must escalate concerns to the proper authority for education and/or disciplinary action. Principals ensure customers are treated fairly, honestly and equitably as a result of the review. The position is dedicated to quality and possesses the initiative to identify and assist with implementation of efficiencies.

DUTIES & RESPONSIBILITIES: 

• Conducts routine reviews and monitors activity of the firm’s insurance, securities, and retail advisory business to ensure firm policy and regulatory compliance, as well as the safeguarding of Thrivent Financial member-owners interests.  Able to analyze across multiple product lines and identify trends.
• Identify, address, and document concerns, escalating when appropriate.
• Provides assistance to management, Field Supervision, and Compliance regarding escalated concerns.
• Provides professional, quality customer service to new and existing members, Wealth Advisors, Financial Representatives, and other field personnel.
• Models Thrivent’s leadership competencies – courage, collaboration, and commitment by demonstrating resiliency, working together to make the best decisions, and holding yourself and others accountable.  ​
• Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement, exceptional employee engagement, and an unwavering commitment to our clients.  Shapes and/or supports a culture that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.  ​

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QUALIFICATIONS & SKILLS:  

 Required:

• College degree or equivalent work experience required. 
• 0-3 year working in the financial services/compliance industry or organization required.
• Demonstrates proficient levels of analytical skills, including the ability to identify and document items that may cause a concern.
• Possesses basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
• Maintains an understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, margin, advisory and related product lines required)
• FINRA Series 6, 7, 24, 26, 63/65, 66, 4,  51, 52 (for individuals that passed the Series 7 exam after 11/7/2011), 53, and/or 9/10 (or a combination thereof as directed by the manager and dependent upon specific job responsibilities), are required or obtained within 90 days of hire/transfer.

Preferred: 

• Possesses basic knowledge of Thrivent and non-proprietary investment products (including mutual funds, variable universal life, variable annuities, 529 plans and managed accounts) and the financial services industry.
• Exercises time management skills; ability to handle multiple tasks effectively and produce accurate work in a fast-paced environment.

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 $56,811.00 - $76,861.00 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.