Remote Compliance Principal: Risk & Regulatory Review

Thrivent Financial; Minneapolis (MN); Vor Ort; USD 64.000 - 86.000; Vollzeit

Benefits dieser Stelle

Annual or long-term incentives

Medical, dental, vision insurance

401k; pension

Zusammenfassung

Thrivent Financial in Minneapolis seeks a Principal to focus on suitability and best-interest reviews of the firm’s insurance, securities, and investment advisory activities. You will develop sound judgment, apply technical knowledge, and ensure adherence to regulatory standards.

Principals demonstrate emerging leadership by fostering collaboration and accountability within their team and business partners, while escalating concerns appropriately.

Qualifikationen

• Bachelor's degree or equivalent work experience.
• Understanding of FINRA/SEC/IA/MSRB rules and ability to apply them.
• Ability to make risk-based decisions and escalate when needed.
• Collaborative mindset with cross-functional teams.

Aufgaben

• Review and monitor insurance, securities, and investment advisory activities for compliance.
• Make risk-based decisions following procedures and escalate high-risk issues.
• Model Thrivent’s values and leadership behaviors in daily activities.
• Collaborate with team members and business partners to meet compliance goals.
• Support initiatives to improve risk management, client services, and efficiency.

Kenntnisse

Regulatory compliance

Decision making

Team collaboration

Finra/SEC/IA/MSRB rules

Critical thinking

Ausbildung

College degree or equivalent

Jobbeschreibung

Thrivent Financial in Minneapolis seeks a Principal to focus on suitability and best-interest reviews of the firm’s insurance, securities, and investment advisory activities. You will develop sound judgment, apply technical knowledge, and ensure adherence to regulatory standards.

Principals demonstrate emerging leadership by fostering collaboration and accountability within their team and business partners, while escalating concerns appropriately.