Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7. Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups. Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies. Partner with LOB leaders and other senior teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Complete assigned tasks and projects from the Chief Compliance Officer.
Job Duties and ResponsibilitiesSupervise and provide leadership to ensure the successful completion of legal, regulatory, compliance, and supervision business objectives.
- Build and maintain a high-performing team; select, develop, coach, reward and recognize team members.
- Conducts in-depth analysis and research of complex compliance related issues and has decision making authority to implement necessary resolutions.
- Responsible for assistance in the annual compliance review pursuant to SEC Rule 206(4)-7.
- Coordinate and execute incidence management with appropriate areas of the organization.
- Consult and work closely with other enterprise-wide business and compliance teams to carry out requirements of compliance program and to assist with enterprise-wide initiatives.
- Evaluate and review existing business practices on a proactive basis, and as business needs dictate, provide consultation and training to TAN business units in order to identify, minimize and manage risk.
- Ability to lead under pressure on multiple projects in a highly visible, fast-paced environment with minimal supervision, including maintaining a highly engaged and effective staff through solid leadership skills.
- Ability to interact at the ground level with advisor practices effectively.
- High level of personal and professional integrity; strong reputation as a trustworthy individual who maintains confidentiality.
- Perform other duties as assigned or as business needs dictate.
Required Job Qualifications- Series 65 or 66, or relevant professional designation or ability to acquire within 90 days.
- Bachelor's Degree in business or related field, advanced degree and/or professional designations/licenses preferred
- Significant (5 plus years) Industry experience related to financial services, insurance, securities and/or investment management.
- Extensive knowledge of Registered Investment Adviser business and securities regulatory requirements in the independent advisor space.
- Demonstrated track record work effectively consulting with financial advisory practices at all levels of their organization (staff to owner advisors).
- Previous regulatory and/or compliance experience required
Other Critical Factors- Foster Open Communication: strong interpersonal skills, negotiation, and oral and written communication skills
- Use Sound Judgement: creative problem-solving skills, attention to detail and excellent follow-up skills
- Proactively identifies next steps in ambiguous situations, drives work with minimal oversight and aligns deliverables with team objectives.
- Project management, time management, leadership, and the ability to influence others without direct authority
NOTE: This job requires licensing which may differ by business area. As a result, all required licenses might not be identified in the Job Qualifications section above. Please contact your manager and/or the job description in the Job Library to confirm license requirements.
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 $114,731.00 - $155,224.00 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.
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