VP, Enterprise Supervision

Minneapolis, MN - USA

Yearly Salary: $ 224486 - 336729

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

The Vice President Enterprise Supervision leads the design implementation and oversight of the supervision programs across Thrivent Investment Management Inc. (TIMI) broker/dealer and investment advisory business and Thrivent insurance products as well as for all securities-registered staff including financial advisors across all distribution channels. The position is collectively accountable for supervising 2300 geographically dispersed representatives.

The Vice President delivers enterprise-wide leadership strategic oversight and guidance across multiple risk disciplines and functional areas ensuring compliance with all SRO federal and state laws and regulations. The position maintains overall accountability for Suitability National Supervision Field Risk Management and Branch Examinations across the enterprise.

This role develops and maintains compliance policies and establishes effective review procedures to mitigate risk. As a strategic advisor and senior leader the position requires deep regulatory expertise the ability to influence across all levels and foster close partnership with business leaders. The VP safeguards Thrivents integrity supports sustainable growth and adds value to the Client and Advisor experience.

The Vice President will serve as a trusted advisor and lead by example demonstrating the highest professional standards. As an inspirational and forward-thinking leader this role fosters a culture of excellence accountability and innovation to consistently deliver strong outcomes.

This position is a member of the General Counsels Office (GCO) senior leadership team contributing to enterprise strategy and governance reporting to the EVP Chief Legal Officer General Counsel & Secretary.

DUTIES & RESPONSIBILITIES:

Lead the design and execution of enterprise supervision programs ensuring alignment with regulatory requirements and businessobjectives.
Serve as the primarysupervisionauthority for TIMI Thrivent InsuranceProductsand the securities-registered workforce.
Interpret complex industry regulations and requirements translating them into actionable strategies and solutions for distribution channels.
Lead a team of senior professionals overseeing Suitability National Supervision Field Risk Management and Branch Examinations.
Design and execute the Supervision Teams strategic business plan aligningsupervisory systemsprioritiesand procedureswith organizationalobjectivesand regulatory compliance.
Partner with senior business leaders to develop evolve and operationalize supervision policies andmaintaineffective and efficient controls.
Conduct proactive self-assessments against regulatory priorities and emerging and evolving expectations.
Identifyareas of vulnerability and riskpartnering with Legal Compliance and business leaders to develop and implement effective solutions.
Oversee corrective action plans andprovideexpert guidance to prevent recurrence.
Enable enterprise growth through efficient solutions-oriented supervision support.
Protect Thrivents reputation and serve as an objective supervisory resource to the Field and Field Leaders thusbenefitingclients and adding value to the client and advisor experience.
Recruit develop and sustain a high-performing team while promoting a culture of shared accountability operational excellence and partnership across the organization.
Inspire and influence stakeholders at all levels to embrace modernization initiatives such as AI integration and process optimization models (POM) ensuring sustainable adoption and value realization across the organization.
Ensuretimelyandaccuratereporting of violations or potential violations as.
ModelThrivents leadership competencies Model the Way Rally the Team and Deliver Outcomes.
Support and/or develop 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 thatrepresentsthe Thrivent purpose promise and values ensuring that Thrivents trust and reputation remain strong with its clients.
Visible engagement as a senior leader in the day-to-day culture of the GCO. This leader exemplifies organizational stewardship by acting in the best interest of the enterprise.The incumbent will manage strategic communications anddecisionsensuring alignment with Thrivents goals and strategies.Fosters strong partnership with Distribution Division and may interact with leaders at all levels and key stakeholders across the organization. MayrepresentThrivent at external/professionalevents.

QUALIFICATIONS & SKILLS:

Required:

College degree or equivalent industryexperience.
FINRA licenses: Series 7 63/65 or 66 and 24 arerequiredor obtained within90 daysof hire.
10years ofindustry and supervisory/risk management experience.
Exceptional leadership skills anddemonstratedability to manage diverse teams.
Demonstrated experience in successfully leading and managing a large geographically dispersed business unit.
Extensive supervisory experience in the financial services industry including a deep understanding of financial services regulatory environment in broker/dealer investmentadvisoryand insurance markets.
Knowledge and understanding of comprehensive financial planning/advice/sales processes andexperienceeffectively integrating compliance requirements/best practices into the wayfinancialadvisorsconduct their businesses andultimately serveclients.
Demonstrated experience in sponsoring and leadingsignificant changeinitiatives.Ability to build strong rapport and effectively influence/collaborate with both field and corporate leaders tofacilitategood decision making and drive compliant behavior.
Demonstrated critical thinking skills and sound decision making.
Ability toestablishcredibility build effectivepartnershipsand influence senior business leaders.
Strong interpersonal and communication skills especially large group presentation experience.
Strategic thinker witha compellingvision for the integration of compliance within financialadvisorspractices and the positive impact on client experience/engagement.
Self-directed able to effectively manage ambiguity change and transformation in a fast-paced environment.

Preferred:

Advanced degree preferred (JD MBA).
Advanced industry designation preferred (CFPCLUorChFC).
Certifications or coursework in AI strategy digital transformation or process improvement (e.g. Lean Six Sigma PMPProsciChange Management AI for Business).

Pay Transparency

Thrivents 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 $224486.00 - $336729.00 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; 27 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. Thrivents plans/policies are subject to change at any time at Thrivents 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 toor calland request Human Resources.

Required Experience:

Exec

DUTIES & RESPONSIBILITIES:

Lead the design and execution of enterprise supervision programs ensuring alignment with regulatory requirements and businessobjectives.
Serve as the primarysupervisionauthority for TIMI Thrivent InsuranceProductsand the securities-registered workforce.
Interpret complex industry regulations and requirements translating them into actionable strategies and solutions for distribution channels.
Lead a team of senior professionals overseeing Suitability National Supervision Field Risk Management and Branch Examinations.
Design and execute the Supervision Teams strategic business plan aligningsupervisory systemsprioritiesand procedureswith organizationalobjectivesand regulatory compliance.
Partner with senior business leaders to develop evolve and operationalize supervision policies andmaintaineffective and efficient controls.
Conduct proactive self-assessments against regulatory priorities and emerging and evolving expectations.
Identifyareas of vulnerability and riskpartnering with Legal Compliance and business leaders to develop and implement effective solutions.
Oversee corrective action plans andprovideexpert guidance to prevent recurrence.
Enable enterprise growth through efficient solutions-oriented supervision support.
Protect Thrivents reputation and serve as an objective supervisory resource to the Field and Field Leaders thusbenefitingclients and adding value to the client and advisor experience.
Recruit develop and sustain a high-performing team while promoting a culture of shared accountability operational excellence and partnership across the organization.
Inspire and influence stakeholders at all levels to embrace modernization initiatives such as AI integration and process optimization models (POM) ensuring sustainable adoption and value realization across the organization.
Ensuretimelyandaccuratereporting of violations or potential violations as.
ModelThrivents leadership competencies Model the Way Rally the Team and Deliver Outcomes.
Support and/or develop 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 thatrepresentsthe Thrivent purpose promise and values ensuring that Thrivents trust and reputation remain strong with its clients.
Visible engagement as a senior leader in the day-to-day culture of the GCO. This leader exemplifies organizational stewardship by acting in the best interest of the enterprise.The incumbent will manage strategic communications anddecisionsensuring alignment with Thrivents goals and strategies.Fosters strong partnership with Distribution Division and may interact with leaders at all levels and key stakeholders across the organization. MayrepresentThrivent at external/professionalevents.

QUALIFICATIONS & SKILLS:

Required:

College degree or equivalent industryexperience.
FINRA licenses: Series 7 63/65 or 66 and 24 arerequiredor obtained within90 daysof hire.
10years ofindustry and supervisory/risk management experience.
Exceptional leadership skills anddemonstratedability to manage diverse teams.
Demonstrated experience in successfully leading and managing a large geographically dispersed business unit.
Extensive supervisory experience in the financial services industry including a deep understanding of financial services regulatory environment in broker/dealer investmentadvisoryand insurance markets.
Knowledge and understanding of comprehensive financial planning/advice/sales processes andexperienceeffectively integrating compliance requirements/best practices into the wayfinancialadvisorsconduct their businesses andultimately serveclients.
Demonstrated experience in sponsoring and leadingsignificant changeinitiatives.Ability to build strong rapport and effectively influence/collaborate with both field and corporate leaders tofacilitategood decision making and drive compliant behavior.
Demonstrated critical thinking skills and sound decision making.
Ability toestablishcredibility build effectivepartnershipsand influence senior business leaders.
Strong interpersonal and communication skills especially large group presentation experience.
Strategic thinker witha compellingvision for the integration of compliance within financialadvisorspractices and the positive impact on client experience/engagement.
Self-directed able to effectively manage ambiguity change and transformation in a fast-paced environment.

Preferred:

Advanced degree preferred (JD MBA).
Advanced industry designation preferred (CFPCLUorChFC).
Certifications or coursework in AI strategy digital transformation or process improvement (e.g. Lean Six Sigma PMPProsciChange Management AI for Business).