Principal
主任职位重点关注公司的保险，证券和/或投资咨询业务的合适性和最佳利益审查。该职位强调制定健全判断力，应用技术知识和确保遵守监管标准。主任通过促进他们直接团队和商业伙伴内部合作和问责制来表现出新兴领导地位，同时适当加剧担忧。职责与责任：· 评估并监督公司的保險，证券及/或投放顾活动以确保符合政策和法规，保护 Trivent Financial 成员所有者的利益。· 根据标准运营程序做出基于风险的决定，酌情将复杂或高风险的问题加剧到管理层。· Model Thrivent 在日常活动中以核心价值观和领导行为进行研究。· 与团队成员和商业合作伙伴合作实现合规性和运营目标。·参与加强风险管理，客户服务以及运营效率和卓越性的倡议。·支持持续改善和问责制文化。下面描述受众这一角色将与他们互动并对这些角色的影响程度。·管理人员，个人贡献者，现场员工，供应商，承包商和顾问。资格与技能：要求：·大学学位或同等工作经验 · 在金融服务行业工作0年至1年 · 基本了解 FINRA/SEC/IA/MSRB 规则和法规以及根据需要解释和应用的能力。· 证明批判性思维，个人责任心和对决策的信心。·在团队环境中有效合作能力。· 适应日常挑战和变化时具有弹力和适应性。· 对于金融服务行业产品 （包括生活和年金，共同基金，529s,股权，固定收益，利率，咨询及相关产品线）的充分了解。· FINRA 系列7,24或9/10,63/65或66需要在租用/转让90天内获得或获得。FINRA 系列4,51,52或53也可能根据经理的指示要求，并且取决于具体的工作责任。优先：·参与流程改善或运营效率项目方面的经验。· 对金融服务中的合规性或监管环境的接触。·熟悉 T.
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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.
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 the manager and is dependent upon specific job responsibilities.
Preferred:
· Experience participating in process improvement or operational efficiency projects.
· Exposure to compliance or regulatory environments in financial services.
· Familiarity with Thrivent’s core values and leadership behaviors.
· Initiative in supporting client-focused solutions.
· Prior experience reviewing correspondence and trade review.
Pay TransparencyThrivent’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 $63,741.00 - $86,238.00 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.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 otherstatus 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 or call 800-847-4836 and request Human Resources.
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