Principal
Principal
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$ 56811 - 76861
1 Vacancy
Job Description
This principal position is responsible for the routine supervision and surveillance of the firms insurance securities and/or investment advisory business. The position requires the technical knowledge and product expertise to limit the firms exposure to financial liability. 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 basic knowledge of investment and insurance products. The position requires the ability to exercise judgment and take calculated risks. Principals must escalate concerns to the proper authority for education and/or disciplinary action. 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.
DUTIES & RESPONSIBILITIES:
- Conducts routine reviews and monitors activity of the firms insurance securities and retail advisory business to ensure firm policy and regulatory compliance as well as the safeguarding of Thrivent Financial memberowners interests. Able to analyze across multiple product lines and identify trends.
- Identify address and document concerns escalating when appropriate.
- Provides assistance to management Field Supervision and Compliance regarding escalated concerns.
- Provides professional quality customer service to new and existing members Wealth Advisors Financial Representatives and other field personnel.
- Models Thrivents leadership competencies courage collaboration and commitment by demonstrating resiliency working together to make the best decisions and holding yourself and others accountable.
- Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement exceptional employee engagement and an unwavering commitment to our clients. Shapes and/or supports a culture that represents the Thrivent purpose promise and values ensuring that Thrivents trust and reputation remain strong with its clients.
QUALIFICATIONS & SKILLS:
Required:
- College degree or equivalent work experience required.
- 03 year working in the financial services/compliance industry or organization required.
- Demonstrates proficient levels of analytical skills including the ability to identify and document items that may cause a concern.
- Possesses basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
- Maintains an understanding of financial services industry products (including life and annuities mutual funds equity fixed income margin advisory and related product lines required)
- FINRA Series/(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.
Preferred:
- Possesses basic knowledge of Thrivent and nonproprietary investment products (including mutual funds variable universal life variable annuities 529 plans and managed accounts) and the financial services industry.
- Exercises time management skills; ability to handle multiple tasks effectively and produce accurate work in a fastpaced environment.
Pay Transparency
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 toor calland request Human Resources.
Employment Type
Full-Time
