Director, Suitability & Regulatory Risk (Remote)

Thrivent Financial; Minneapolis (MN); On-site; USD 115,000 - 155,000; Full time

Benefits offered by this job

Bonuses

Medical Insurance

401k

Job summary

Thrivent Financial is seeking a Manager, Suitability to lead the Enterprise Supervision team in Minnesota. The role focuses on ensuring compliance with insurance, securities, and investment advisory sales practices while delivering measurable risk-based outcomes.

The position requires deep regulatory knowledge, strong leadership, and the ability to partner with Compliance, Legal, Field Leadership, and other stakeholders to push for continuous improvement and client-centric decisions.

Qualifications

• College degree or equivalent work experience.
• Experience navigating FINRA/SEC/IA/MSRB rules and applying them to practice.

Responsibilities

• Provide leadership and oversight of suitability review activities.
• Establish performance expectations and metrics aligned with objectives.
• Coordinate responses to regulatory inquiries, examinations, and audits.
• Lead a high-performing team and promote accountability and collaboration.

Skills

Regulatory knowledge

Leadership experience

Communication & influence

Analytical thinking

Education

Bachelor's degree

Tools

Excel

CoPilot

AI tools

Job description

Thrivent Financial is seeking a Manager, Suitability to lead the Enterprise Supervision team in Minnesota. The role focuses on ensuring compliance with insurance, securities, and investment advisory sales practices while delivering measurable risk-based outcomes.

The position requires deep regulatory knowledge, strong leadership, and the ability to partner with Compliance, Legal, Field Leadership, and other stakeholders to push for continuous improvement and client-centric decisions.