Thrivent Financial Senior Field Risk Manager in Indianapolis, Indiana

Summary

Job Description

Summary

The Senior Field Risk Manager provides supervisory oversight and risk management program for all field registered Representatives and employees in the assigned Region. FINRA Rule 3010 and NTM 99-45 provide instructions that each member firm have required supervisory systems designed specifically for that firm’s business.

This role is responsible for the supervisory/regulatory health of the region and provides supervisory leadership and counsel on regulatory and risk requirements and cross functional education to field leadership, financial representatives, field registered employees, and operational staff.

Thrivent Financial isn't your typical Fortune 500 organization. We're also a not-for-profit, and fraternal benefit society committed to strengthening our member communities by helping our members be wise with money and inspiring them to live generously.

We are looking for people of the highest quality who share our core values and the values we share with our members. If making a real difference in people's lives is meaningful to you, join us.

Job Description

  • You will partner with field leadership and Regional Vice President (RVP) and provide value-added working relationships with Registered Representatives (RR).

  • You will actively and independently research, advise, and counsel field leaders and RRs on regulatory, supervisory, and compliance requirements. You will serve as the subject matter authority in regulatory/risk related matters, including special projects.

  • You will uncover risk within assigned region(s) business and their procedures, and bring them to the attention of management. You will work to resolve complex issues, and may engage others, including Senior Counsel, Internal Audit and business line owners to resolve deficiencies. The development of action plans to resolve issues may be necessary.

  • As a member of the region leadership team you will be tasked with providing risk-based consultation/influence on highly complex/sensitive communications, region activities, and strategic direction.

  • You will conduct ongoing 1:1s with RVPs regarding emerging and ongoing risk within the region.

  • You will implement supervisory processes, procedures, and tools with RRs and Field Management that consistently integrates regulatory requirements into standard practices.

  • You'll conduct supervisory/risk onboarding training for new RRs and Field Management, as well as conduct ongoing risk-based training. You will develop and deliver effective meaningful content in a manner that is retained and acted on.

  • This role serves as the designated Region Registered Principal responsible for all supervisory/regulatory issues during RVP vacancies.

  • You will conduct delegated supervisory activities, including 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.

  • This position functions as a subject matter expert on risk-related issues and impact as projects and initiatives are introduced, implemented, and revised. Your recommendations and/or decisions could have regulatory impact on assigned regions.

  • You will be the primary region liaison to regulators and corporate auditors and will provide assistance to senior management, Compliance/Legal, and RVPs 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

  • 5+ 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 dynamic environment

  • Strong analytical and organizational skills

  • Strong leadership skills and ability to provide strategic direction and influence behavior without direct reporting relationships

  • Willingness to travel: 30% required travel

You don’t need to be Christian to join our team. You do need the passion to guide our members on their Wise With Money Journey, equipping them to live more content, confident and generous lives. Thrivent strives to provide an Equal Employment Opportunity (EEO) without regard to race, religion, color, gender, gender identity, national origin, age, disability, marital status, citizenship status, military or veteran status, sexual orientation, sex, genetic information, or any other status or condition protected by applicable state or federal laws. This policy applies to all employees and job applicants.

Thrivent is a not-for-profit, membership-owned, financial services organization that guides Christians on their Wise With Money Journey. As a mission-driven, membership-owned organization, we offer our more than 2 million members and customers a broad range of financial products, services and guidance to help them live a life of contentment, confidence and generosity. Thrivent and our family of businesses offer insurance, investments, banking and advice over the phone and online, as well as through financial professionals and independent agents nationwide. For more than a century, Thrivent has helped Christians make wise money choices that reflect their values while offering them opportunities to demonstrate their generosity where they live, work and worship.

Thrivent fosters a diverse workforce to serve our diverse membership, 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.

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