Sobre esta vaga de Mgr, Suitability na Thrivent
The Manager, Suitability leads a team within Enterprise Supervision and is accountable for providing strategic leadership, operational oversight, and subject matter expertise related to suitability supervision activities. This role ensures Thrivent’s insurance, securities, and investment advisory sales practices comply with applicable regulatory requirements while supporting business objectives and protecting the organization from regulatory, financial, and reputational risk. The manager partners closely with Supervision Leadership, Compliance, Legal, Field Leadership, and other stakeholders to deliver consistent, high-quality suitability outcomes. The role promotes a culture of accountability, continuous improvement, and client-centric decision-making aligned with Thrivent’s purpose, promise, and values.
DUTIES & RESPONSIBILITIES:
Provide leadership and oversight of suitability review activities, ensuring consistent and risk-based application of regulatory and internal requirements.
Establish performance expectations, goals, and metrics aligned with Enterprise Supervision objectives and Thrivent strategic priorities.
Apply deep knowledge of insurance, securities, and investment advisory regulations to identify, assess, and mitigate regulatory, financial, and reputational risk.
Evaluate the effectiveness of suitability controls and recommend enhancements in response to regulatory change, business evolution, or emerging risk.
Partner with Legal, Compliance, Field Leadership, and other stakeholders on sales practice issues, special projects, and enterprise initiatives.
Lead and coordinate responses to regulatory inquiries, examinations, and audits related to suitability supervision.
Serve as a subject matter expert on suitability and regulatory risk matters, providing guidance and recommendations to leadership.
Recruits, develops, and sustains a high-performing team while promoting a culture of shared accountability, operational excellence, and partnership across the organization.
Models Thrivent’s leadership competencies – Model the Way, Rally the Team, and Deliver Outcomes.
Supports and/or develops 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 that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.
Describe below the audience this role will interact with and level of influence they will have on those roles.
This position interacts with individual contributors, managers, directors, and senior leaders across Thrivent; field leadership and advisors; internal partners including Compliance and Legal; and external vendors or consultants. The Manager, Suitability exercises influence through expert guidance, risk-based recommendations, and leadership on suitability and regulatory matters.
QUALIFICATIONS & SKILLS:
Required:
College degree or equivalent work experience required.
10+ years working in the financial services industry and/or compliance related experience required.
Extensive knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
Extensive level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory, and alternative/complex products), best practices, and trends.
Extensive leadership experience, including training, mentoring, and developing teammates.
Strong analytical and technical skills, including experience with Excel, CoPilot, AI and financial services tools.
Ability to act independently and take accountability for high-impact decisions.
Excellent communication, collaboration and influence skills among all organizational levels; strong facilitation and executive communications skills.
FINRA Series 4, 7, 24, 52(for individuals that passed the Series 7 after 11/7/2011), 53, 66 or 63/65 required or obtained within 90 days of hire/transfer or a combination thereof as directed by the manager and dependent upon specific job responsibilities.
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 to [email protected] or call 800-847-4836 and request Human Resources.
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