Mgr, Compliance - LIC

Thrivent Financial; Atlanta (GA); On-site; USD 115,000 - 155,000; Full time

Benefits offered by this job

Bonuses (including annual/long-term)

Health insurance

401k

Pension

Paid Time Off

Volunteer Time Off

Parental leave

EAP

Well-being benefits

Job summary

Thrivent Financial is seeking an experienced Compliance leader to oversee legal, regulatory, and supervision objectives within the RIA space. You will guide risk management initiatives, engage with senior teams, and ensure adherence to SEC Rule 206(4)-7 while delivering training and consultations across the organization.

The role requires Series 65/66 or the ability to obtain, a business-related degree, and a track record in financial services compliance.

Qualifications

• Series 65 or 66, or ability to acquire within 90 days.
• Extensive knowledge of Registered Investment Adviser (RIA) business and securities regulatory requirements.

Responsibilities

• Supervise and lead to achieve legal, regulatory, compliance, and supervision objectives.
• Conduct in-depth analysis of complex compliance issues and implement resolutions.
• Coordinate annual compliance review per SEC Rule 206(4)-7 and assist with risk monitoring.
• Provide consultative training to TAN business units to identify and manage risk.
• Maintain high integrity, interact with advisor practices at all levels, and lead under pressure.

Skills

Regulatory knowledge

Leadership

Analytical thinking

Communication

Risk management

Education

Bachelor’s Degree in business or related field

Advanced degree or professional designations/licenses preferred

Job description

Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7. Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups. Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies. Partner with LOB leaders and other senior teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Complete assigned tasks and projects from the Chief Compliance Officer.

Job Duties and Responsibilities

Supervise and provide leadership to ensure the successful completion of legal, regulatory, compliance, and supervision business objectives. Build and maintain a high-performing team; select, develop, coach, reward and recognize team members. Conducts in-depth analysis and research of complex compliance related issues and has decision making authority to implement necessary resolutions. Responsible for assistance in the annual compliance review pursuant to SEC Rule 206(4)-7. Coordinate and execute incidence management with appropriate areas of the organization. Consult and work closely with other enterprise-wide business and compliance teams to carry out requirements of compliance program and to assist with enterprise-wide initiatives. Evaluate and review existing business practices on a proactive basis, and as business needs dictate, provide consultation and training to TAN business units in order to identify, minimize and manage risk. Ability to lead under pressure on multiple projects in a highly visible, fast-paced environment with minimal supervision, including maintaining a highly engaged and effective staff through solid leadership skills. Ability to interact at the ground level with advisor practices effectively. High level of personal and professional integrity; strong reputation as a trustworthy individual who maintains confidentiality. Perform other duties as assigned or as business needs dictate.

Required Job Qualifications

Series 65 or 66, or relevant professional designation or ability to acquire within 90 days. Bachelor’s Degree in business or related field, advanced degree and/or professional designations/licenses preferred Significant (5 plus years) Industry experience related to financial services, insurance, securities and/or investment management. Extensive knowledge of Registered Investment Adviser business and securities regulatory requirements in the independent advisor space. Demonstrated track record work effectively consulting with financial advisory practices at all levels of their organization (staff to owner advisors). Previous regulatory and/or compliance experience required

Other Critical Factors

Foster Open Communication: strong interpersonal skills, negotiation, and oral and written communication skills Use Sound Judgement: creative problem-solving skills, attention to detail and excellent follow-up skills Proactively identifies next steps in ambiguous situations, drives work with minimal oversight and aligns deliverables with team objectives. Project management, time management, leadership, and the ability to influence others without direct authority

Pay Transparency

The applicable salary or hourly wage range for this full-time role is $114,731.00 - $155,224.00 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.

Benefits

• 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
• other employee benefits

Equal Employment Opportunity (EEO) & Accommodations

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 [e-mail] or call 800-847-4836 and request Human Resources.

#Remote 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.