Thrivent Financial Field Risk Manager - Remote in United States
We exist to help people achieve financial clarity. At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice, investments, insurance, banking and generosity programs to help people make the most of all they’ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our clients. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want today—and tomorrow.Support supervisory oversight and risk management program. FINRA Rule 3010 and NTM 99-45 provide instructions that each member firm have required supervisory systems designed specifically for that firm’s business.The Field Risk Manager position will serve in a supervisory Registered Principal delegate capacity for Registered Representatives within a defined span of control. The position is responsible for supporting supervisory/regulatory health and providing supervisory leadership and consultation on regulatory and risk requirements and cross functional education to financial representatives, field registered employees, and operational staff.
Job Duties and Responsibilities
Partner with Sr. Field Risk Managers providing value-added working relationships and support with day-to-day sales practice supervision of field Registered Representatives (RRs).
Research, advise, and counsel Sr. Field Risk Managers on regulatory, supervisory, and compliance related matters.
Uncovers risk within assigned span of control. Responsible for resolving lower risk issues and aiding in the detection and resolution of complex issues.
Consistently implement supervisory processes, procedures, and tools with RRs and field staff that integrates regulatory requirements into standard practices.
Conduct supervisory/risk onboarding training for new RRs.
Conduct ongoing risk-based training for RRs. This includes the ability to develop effective content and/or deliver meaningful content in a manner that is retained and acted on.
Conduct routine supervisory activities which may include supervisory reports review and action, gift log review, supervisory system of record escalations, blotter oversight, outside business activities, non-cash compensation, private securities transactions, and other required supervisory activities.
Provide assistance to Compliance/Legal concerning internal investigations, member/client complaints, and regulatory inspections.
Partner with Branch Examination Group on resolution of identified findings.
Collaborate with corporate Suitability/Surveillance/Supervision teams, Compliance/Legal, and field leadership to assess the quality of each RR’s overall sales practices.
Required Job Qualifications
College degree or equivalent industry experienced required
FINRA licenses: Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire
2+ years industry experience
Strong knowledge of products and IA requirements
Demonstrated solutions-oriented decision-making abilities while applying reasonable judgement
Excellent written, verbal communication and presentation skills
Demonstrated ability to work independently and meet deadlines in a fast-paced environment
Strong analytical and organizational skills
Willingness to travel: 30% required travel
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 to firstname.lastname@example.org or call 800-847-4836 and request Human Resources.
At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice, investments, insurance, banking and generosity programs to help people make the most of all they’ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our customers. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want today—and tomorrow.
For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, it’s a Fortune 500 company that offers a full range of expert financial solutions, serving more than 2 million customers, as well as the communities in which they live and work.
Thrivent fosters a diverse workforce to serve our diverse clientele, reflecting a wide range of backgrounds and experiences. If you’re intrigued about our work and the possibility of becoming part of it, we invite you to visit Thrivent.com to learn more. You won’t just build a career; you’ll be part of an organization focused on growing, innovating, and serving.