Sr Field Risk Manager

Lead supervisory oversight and risk management program for all Registered Representatives within an assigned Area(s) or Group. FINRA Rule 3010 and NTM 99-45 provide instructions that each member firm have required supervisory systems designed specifically for that firm’s business.
The Sr. Field Risk Manager serves as the functional supervisory Registered Principal for all Investment Advisor Representatives (IAR) and FINRA Registered Representatives (RRs) within an assigned Group. The Position is responsible for the supervisory/regulatory health by providing supervisory leadership and counsel on regulatory and risk requirements along with cross-functional education to field leadership, financial representatives, field registered employees, and operational staff.

DUTIES & RESPONSIBILITIES: 

• Partner with field leadership providing value-added working relationships.
• Proactively and independently research, advise, and counsel field leaders and IARs/RRs on regulatory, supervisory, and compliance requirements. Responsibilities also include serving as a subject matter expert on regulatory/risk related matters, including special projects and initiatives.
• Responsible for uncovering and resolving issues, including complex issues; but may engage others, including Senior Counsel, Internal Audit, and business line owners to resolve deficiencies.
• As a member of the leadership team responsibilities include providing risk-based consultation/influence on complex/sensitive communications, activities, and strategic direction.
• Consistently implement supervisory processes, procedures, and tools with IARs/RRs and Field Management that integrates regulatory requirements into standard practices.
• Conduct supervisory/risk onboarding training for new IARs/RRs and Field Management.
• Conduct ongoing risk-based training for IARs/RRs and Field Management. This includes the ability to develop effective content and/or deliver meaningful content in a manner that is retained and acted on.
• Conduct routine supervisory activities which may include supervisory report review and action, supervisory system of record escalations, outside business activities, and other required supervisory activities.
• Serves as subject matter expert on risk-related issues and business impact as projects and initiatives are implemented.
• Primary liaison to regulators and corporate auditors within designated supervision span of control.
• Partners with senior management and Compliance/Legal concerning internal investigations, member/client complaints, and regulatory inspections.
• Partners with Branch Examination Team on resolution of identified findings.
• Collaborate with corporate Suitability/Surveillance/Supervision teams, Compliance/Legal, and field leadership to assess the quality of each IAR/RR’s overall sales practices.

QUALIFICATIONS & SKILLS:  

• College degree or equivalent industry experienced required
• FINRA licenses: Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire
• 5+ years industry experience
• Experience supervising both Investment Advisor Representatives and FINRA Registered Representatives
• Experience within a corporate RIA, affiliated IA or related cross-entity shared service a plus
• Strong knowledge of products and IA requirements
• Demonstrated solutions-oriented decision-making abilities while applying reasonable judgement
• Excellent written, verbal communication and presentation skills
• Demonstrated ability to work independently and meet deadlines in a fast-paced environment
• Strong analytical and organizational skills
• Strong leadership skills and ability to provide strategic direction and influence behavior without direct reporting relationships
• Willingness to travel: 30% required travel

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 $102,023.00 - $138,032.00 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 [email protected] or call 800-847-4836 and request Human Resources.