The Principal role focuses on suitability and best interest reviews of the firm’s insurance, securities, and/or investment advisory business. This position emphasizes developing sound judgment, applying technical knowledge, and ensuring adherence to regulatory standards. Principals demonstrate emerging leadership by fostering collaboration and accountability within their immediate team and business partners, while escalating concerns appropriately.
DUTIES & RESPONSIBILITIES:
- Reviews and monitors the firm's insurance, securities, and/or investment advisory activities to ensure compliance with policies and regulations, and to protect Thrivent Financial member-owners' interests.
- Make risk-based decisions in line with standard operating procedures, escalating complex or high-risk issues to management as appropriate.
- Model Thrivent’s core values and leadership behaviors in daily activities.
- Collaborate with team members and business partners to achieve compliance and operational goals.
- Participate in initiatives that enhance risk management, client services, and operational efficiency and excellence.
- Support a culture of continuous improvement and accountability.
Audience interaction:
- Describe below the audience this role will interact with and level of influence they will have on those roles.
- Managers, individual contributors, field employees, vendors, contractors and consultants.
QUALIFICATIONS & SKILLS:
Required:
- College degree or equivalent work experience
- 0-1 year working in the financial services industry
- Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
- Demonstrated critical thinking, personal accountability, and confidence in decision-making.
- Ability to collaborate effectively within a team environment.
- Resilience and adaptability in addressing routine challenges and changes.
- Solid understanding of financial services industry products (including life and annuities, mutual funds, 529s, equity, fixed income, margin, advisory and related product lines)
- FINRA Series 7, 24 or 9/10, 63/65 or 66 required or obtained within 90 days of hire/transfer.
- FINRA Series 4, 51, 52, or 53 may also be required as directed by