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Principal

    • Remote (United States)
  • General Counsel's Office
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Description

This 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.  ​

QUALIFICATIONS & SKILLS:  

 Required:

  • College degree or equivalent work experience required. 
  • Financial services/compliance industry experience and FINRA licensing desired.
  • 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 or 7, 26 or 24, 63/65 or 66 required or obtained within 90 days of hire/transfer or a combination thereof as directed by the manager and dependent upon specific job responsibilities.

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.

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.

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Our DEI Perspective

At Thrivent, we know our organization is strengthened when we have a diverse team that reflects our clients and builds on the diverse perspectives of others.

We believe that humanity thrives when people make the most of all they've been given, which includes our history, heritage, individual and collective experiences. Take a moment to pause with us, reflect on where Thrivent is at in our DEI journey and look forward to the future in anticipation of great things to come.

Read our Diversity, Equity & Inclusion Report

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