Sr Principal
Sr Principal
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$ 72505 - 98097
1 Vacancy
Job Description
Fully qualified senior level principal position is responsible for the supervision and surveillance of the firms insurance securities and investment advisory business. The position requires the technical knowledge and product expertise to limit the firms 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 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.
- 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.
- 57 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/(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 13 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 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.
Required Experience:
Senior IC
Employment Type
Full-Time
