Broker Dealer and Investment Advisor Lending Manager

Thrivent

1d•$114,731 - $155,224

About The Position

The Broker Dealer and Investment Advisor (also referred to as Thrivent Investment Management, Inc.) Lending Manager is a senior-level role responsible for the strategy, governance, and execution of Advisor and registered representative lending programs within TIMI (BD/Corporate RIA). This role operates with a high degree of autonomy and judgment, balancing business growth objectives with regulatory, credit, and reputational risk. The role serves as the firm’s subject matter expert on advisor lending.

Requirements

Bachelor’s degree in Finance, Business, Accounting, or related field
8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending
Strong knowledge of FINRA rules and broker-dealer and investment advisor regulatory frameworks
Experience influencing senior leaders
FINRA Series 7, and 24 or 27 required or obtained within 90 days of hire/transfer
Strong independent judgment and risk management capability
Executive communication and stakeholder management skills
High attention to detail with strategic perspective
Ability to operate effectively in a regulated environment

Responsibilities

Design, oversee, and enhance advisor lending programs including recruiting, retention, transition, and succession loans
Establish governance, policies, approval frameworks, and controls
Align lending programs with firm strategy and risk appetite
Serve as primary liaison with Legal and Compliance
Ensure compliance with applicable federal, state and self-regulatory organization rules and regulations related to lending, including FINRA Rule 3240
Lead audit and exam preparation related to lending programs
Monitor regulatory changes and recommend program updates
Oversee underwriting standards and credit reviews
Monitor loan portfolio health, concentrations, and repayment performance
Lead escalation, remediation, and recovery efforts
Ensure effective loan administration, documentation, and controls
Partner with Finance on accounting, accruals, reserves, and write-offs
Drive operational efficiency and scalability
Act as a trusted advisor to leadership and field management
Support recruiting and retention strategies
Communicate clearly with advisors regarding loan terms and obligations
Provide executive-level reporting on loan balances, risk, and ROI
Deliver insights to support strategic decision-making