Support supervisory oversight and risk management program. 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 Field Risk Manager position will serve in a supervisory Registered Principal delegate capacity for Registered Representatives within a defined span of control. The Position is responsible for supporting supervisory/regulatory health and providing supervisory leadership and consultation on regulatory and risk requirements and cross functional education to financial representatives, field registered employees, and operational staff.

         

          

Job Duties and Responsibilities

Partner with Sr. Field Risk Managers providing value-added working relationships and support with day-to-day sales practice supervision of field Registered Representatives (RRs).Partner with Sr. Field Risk Manager to research, advise, and counsel RRs on  compliance related matters.Responsible for independently resolving lower risk issues and aiding in the detection and resolution of complex issues.Consistently implement supervisory processes, procedures, and tools with RRs and field staff that integrates regulatory requirements into standard practices.Conduct supervisory/risk onboarding training for new RRs.Conduct ongoing risk-based training for RRs. This includes the ability to develop effective content and/or deliver meaningful content in a manner that is retained and acted on.Review supervisory reports to aid in detection of issues.Conduct delegated supervisory activities on a variety of regulatory and risk issues. Support and engage in supervision projects and other initiativesProvide assistance to Compliance/Legal concerning internal investigations, member/client complaints, and regulatory inspections.Partner with Branch Examination Group on resolution of identified findings.Collaborate with corporate Suitability/Surveillance/Supervision teams, Compliance/Legal, and field leadership to assess the quality of each RR’s overall sales practices.

Required Job Qualifications

College degree or equivalent industry experienced requiredFINRA licenses: Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire2+ years industry experienceStrong knowledge of products and IA requirementsDemonstrated solutions-oriented decision-making abilities while applying reasonable judgementExcellent written, verbal communication and presentation skillsDemonstrated ability to work independently and meet deadlines in a fast-paced environmentStrong analytical and organizational skillsWillingness to travel: 20% 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 $83,934.00 - $113,559.00 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 human.resources@thrivent.com or call 800-847-4836 and request Human Resources.