Senior Manager, Suitability Risk & Compliance

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

Benefits offered by this job

Bonuses (annual/long-term incentives)

Medical, dental, and vision insurance

401k / Pension plan

Paid Time Off (20 days)

Volunteer Time Off

Parental leave

Employee Assistance Program (EAP)

Job summary

Thrivent is seeking a Manager, Suitability to lead a team within Enterprise Supervision, ensuring regulatory-compliant sales practices across insurance, securities, and advisory products. You will partner with Compliance, Legal, Field Leadership, and other stakeholders to deliver high-quality suitability outcomes.

The role requires deep regulatory knowledge, leadership experience, and the ability to guide executive-level decision-making while promoting Thrivent’s values and client focus.

Qualifications

• College degree or equivalent work experience required.
• 10+ years working in the financial services industry and/or compliance related experience required.
• Extensive knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
• Extensive knowledge of financial services products (life, annuities, mutual funds, equity, fixed income, options) and related practices.
• Extensive leadership experience, including training, mentoring, and developing teammates.
• Strong analytical and technical skills, including Excel, CoPilot, AI and financial services tools.
• Ability to act independently and take accountability for high-impact decisions.
• Excellent communication, collaboration and influence skills across organizational levels; facilitation skills.
• FINRA Series 4, 7, 24, 52/53/66 or 63/65 required or obtained within 90 days of hire/transfer.

Responsibilities

• Provide leadership and oversight of suitability review activities with risk-based, regulatory-compliant approaches.
• Establish performance expectations, goals, and metrics aligned with Enterprise Supervision.
• Apply knowledge of insurance, securities, and advisory regulations to manage risk.
• Evaluate effectiveness of suitability controls and recommend enhancements.
• Coordinate with Legal, Compliance, Field Leadership on sales practice issues and enterprise initiatives.
• Lead responses to regulatory inquiries, examinations, and audits.
• Serve as SME on suitability and regulatory risk matters for leadership.
• Develop and sustain a high-performing team and promote accountability.

Skills

Leadership

Regulatory knowledge

Communication & influence

Analytical skills

Excel

CoPilot / AI tools

Program management

Team development

Education

Bachelor's degree or equivalent

Tools

Excel

CoPilot

AI tools

Financial services tools

Job description

Thrivent is seeking a Manager, Suitability to lead a team within Enterprise Supervision, ensuring regulatory-compliant sales practices across insurance, securities, and advisory products. You will partner with Compliance, Legal, Field Leadership, and other stakeholders to deliver high-quality suitability outcomes.

The role requires deep regulatory knowledge, leadership experience, and the ability to guide executive-level decision-making while promoting Thrivent’s values and client focus.