Broker Dealer and Investment Advisor Lending Manager

The Broker Dealer and Investment Advisor (also referred to as Thrivent Investment Management, Inc.) Lending Manager is a senior-level role responsible for the strategy, governance, and execution of Advisor and registered representative lending programs within TIMI (BD/Corporate RIA). This role operates with a high degree of autonomy and judgment, balancing business growth objectives with regulatory, credit, and reputational risk. The role serves as the firm’s subject matter expert on advisor lending.
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* DUTIES & RESPONSIBILITIES:

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* · Design, oversee, and enhance advisor lending programs including recruiting, retention, transition, and succession loans
· Establish governance, policies, approval frameworks, and controls

Align lending programs with firm strategy and risk appetite
· Serve as primary liaison with Legal and Compliance
· Ensure compliance with applicable federal, state and self-regulatory organization rules and regulations related to lending, including FINRA Rule 3240
· Lead audit and exam preparation related to lending programs

Monitor regulatory changes and recommend program updates
· Oversee underwriting standards and credit reviews
· Monitor loan portfolio health, concentrations, and repayment performance

Lead escalation, remediation, and recovery efforts
· Ensure effective loan administration, documentation, and controls
· Partner with Finance on accounting, accruals, reserves, and write-offs Drive operational efficiency and scalability
· Act as a trusted advisor to leadership and field management
· Support recruiting and retention strategies

Communicate clearly with advisors regarding loan terms and obligations
· Provide executive-level reporting on loan balances, risk, and ROIDeliver insights to support strategic decision-making
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* Qualifications:

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* Required:

** Bachelor’s degree in Finance, Business, Accounting, or related field
* 8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending
* Strong knowledge of FINRA rules and broker-dealer and investment advisor regulatory frameworks
* Experience influencing senior leaders
* FINRA Series 7, and 24 or 27 required or obtained within 90 days of hire/transfer
* Strong independent judgment and risk management capability
* Executive communication and stakeholder management skills
* High attention to detail with strategic perspective
* Ability to operate effectively in a regulated 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 $ - $ 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,…