Sr Principal

Fully qualified, senior level principal position is responsible for the supervision and surveillance of the firm’s insurance, securities, and investment advisory business. The position requires the technical knowledge and product expertise to limit the firm’s exposure to financial liability. Sr 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 thorough knowledge of investment and insurance products (current and past.) The position requires the ability to exercise judgment and take calculated risks. Senior Principals must escalate concerns to the proper authority for education and/or disciplinary action. Senior 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.

Job Duties and Responsibilities

• Conduct complex 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.
• Provide assistance to management, Field Supervision & Managing Partners, Compliance, and Member Relations regarding escalated concerns.
• Provide professional, quality customer service to new and existing members, Wealth Advisors, Pinnacle Leaders Group, Financial Representatives, and other field personnel.
• Appropriately handle advanced level inquiries independently, with minimal to no direction, providing work direction and resource for less experienced principals.
   

Additional responsibilities for the Principal role supporting Financial Planning Services:

• Conduct reviews of plans prepared by financial professionals for adherence to firm policies and procedures.
• Conduct correspondence reviews.
• Conduct other supervisory tasks, including support for other areas of Enterprise Supervision, as needed.
• Participate in financial planning business meetings and initiatives as directed by manager.
• Stay current on trends, concepts, developments, and legislation impacting financial planning and analysis.

Required Job Qualifications

• College degree or equivalent work experience required.
• 5-7 years working in the financial services industry or equivalent of directly related compliance experience 
• Advanced levels of analysis and independence
• Possesses advanced knowledge of FINRA/SEC/IA/NAIC/MSRB rules and regulations and the ability to interpret and apply as 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.
• Maintains a thorough level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory and related product lines required) )

Additional qualifications for the Principal role supporting Financial Planning Services:

• Strong knowledge of financial planning business, and 1-3 years in a financial planning compliance, supervision, operations or similar role.
• Experience with financial planning tools/software such as NaviPlan and MoneyGuide Pro is a plus

Other Critical Factors

• Understands financial planning and advisory service concepts.
• Disseminates and presents case findings to management, field management and other corporate staff and managers.
• 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 $72,505.00 - $98,097.00 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.