Principal, Financial Compliance

The Principal role focuses on suitability and best interest reviews of the firm’s insurance, securities, and/or investment advisory business. This position emphasizes developing sound judgment, applying technical knowledge, and ensuring adherence to regulatory standards. Principals demonstrate emerging leadership by fostering collaboration and accountability within their immediate team and business partners, while escalating concerns appropriately.

DUTIES & RESPONSIBILITIES:

Reviews and monitors the firm's insurance, securities, and/or investment advisory activities to ensure compliance with policies and regulations, and to protect Thrivent Financial member-owners' interests.

Make risk-based decisions in line with standard operating procedures, escalating complex or high-risk issues to management as appropriate.

Model Thrivent’s core values and leadership behaviors in daily activities.

Collaborate with team members and business partners to achieve compliance and operational goals.

Participate in initiatives that enhance risk management, client services, and operational efficiency and excellence.

Support a culture of continuous improvement and accountability.

Describe below the audience this role will interact with and level of influence they will have on those roles.

Managers, individual contributors, field employees, vendors, contractors and consultants.

QUALIFICATIONS & SKILLS:

Required:

College degree or equivalent work experience0-1 year working in the financial services industry

Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.

Demonstrated critical thinking, personal accountability, and confidence in decision-making.

Ability to collaborate effectively within a team environment.

Resilience and adaptability in addressing routine challenges and changes.

Solid understanding of financial services industry products (including life and annuities, mutual funds, 529s, equity, fixed income, margin, advisory and related product lines)
FINRA Series 7, 24 or 9/10, 63/65 or 66 required or obtained within 90 days of hire/transfer. FINRA Series 4, 51, 52, or 53 may also be required as directed by the manager and is dependent upon specific job responsibilities.

Preferred:

Experience participating in process improvement or operational efficiency projects.

Exposure to compliance or regulatory environments in financial services.

Familiarity with Thrivent’s core values and leadership behaviors.

Initiative in supporting client-focused solutions.

Prior experience reviewing correspondence and trade review.

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 $63,741.00 - $86,238.00 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…