Remote Manager, Suitability & Regulatory Risk

Thrivent; United States; Remote; USD 115,000 - 155,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k retirement plan

Pension benefits

Paid time off

Job summary

Thrivent’s Enterprise Supervision seeks a Manager, Suitability to lead a team focused on regulatory-compliant suitability across insurance, securities, and investment-advisory sales. You will drive risk-based decisions and safeguard Thrivent’s trust and reputation.

You will partner with Compliance, Legal, Field Leadership, and other stakeholders to deliver high-quality suitability outcomes and a culture of accountability aligned with Thrivent’s purpose and values.

Qualifications

• College degree or equivalent work experience.
• 10+ years in financial services or compliance.
• Strong knowledge of FINRA/SEC/IA/MSRB rules.
• Understanding of insurance, securities and advisory products.
• Proven leadership including mentoring and development.
• Excellent communication and executive presentation skills.

Responsibilities

• Provide leadership and oversight of suitability review activities.
• Establish performance expectations, goals and metrics.
• Apply knowledge of regulations to identify and mitigate risk.
• Evaluate effectiveness of controls and suggest enhancements.
• Partner with Legal, Compliance, Field Leadership on issues.
• Lead responses to regulatory inquiries, examinations, audits.
• Develop a high-performing team and promote accountability.

Skills

10+ years experience

Regulatory knowledge (FINRA/SEC/IA/MSR

Leadership experience

Excel / financial tools

Communication & influence

Independent accountability

Regulatory risk management

Education

College degree or equivalent

Tools

Excel

CoPilot

AI tools

Job description

Thrivent’s Enterprise Supervision seeks a Manager, Suitability to lead a team focused on regulatory-compliant suitability across insurance, securities, and investment-advisory sales. You will drive risk-based decisions and safeguard Thrivent’s trust and reputation.

You will partner with Compliance, Legal, Field Leadership, and other stakeholders to deliver high-quality suitability outcomes and a culture of accountability aligned with Thrivent’s purpose and values.