Director, National Supervision

Thrivent•Minneapolis, MN

1d•$146,428 - $198,108

About The Position

The Director, National Supervision provides enterprise-wide strategic leadership for Enterprise Supervision functions including Surveillance, Branch Examinations, and Support across distribution channels. This role sets the vision and direction for supervisory programs, ensuring alignment with organizational objectives and regulatory expectations. As a key risk leader, the Director drives the development and execution of comprehensive supervision strategies that proactively identify, assess, and mitigate regulatory, operational, financial, and reputational risks. This position partners with leaders to influence firm-wide policies, enhance governance frameworks, and ensure adherence to SRO, federal, and state regulations. The Director is accountable for measurable outcomes, including the effectiveness of supervisory controls, risk reduction, and operational efficiency. This role fosters a culture of compliance and ethical conduct, leads high-performing teams, and leverages data-driven insights to strengthen supervisory practices and support sustainable business growth.

Requirements

College degree or equivalent industry experienced required
FINRA licenses: Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire
10+ years industry and supervisory/risk management experience
Exceptional leadership skills and demonstrated ability to manage diverse teams
Demonstrated ability to partner and present to all levels of management and senior management
Strong strategic management and decision-making abilities
Excellent conflict management skills
Strong knowledge of industry products and investment advisory services
Excellent written and verbal communication skills
Ability to work independently and meet deadlines in a fast-paced environment
Strong analytical and organizational skills
Demonstrated ability to provide strategic direction and influence behavior without direct reporting relationships

Nice To Haves

Advanced degree preferred (JD, MBA).
Advanced industry designation preferred (CFP, CLU or ChFC).
Demonstrated familiarity with Microsoft Copilot or simar artificial intelligence (AI) tools or resources with an emphasis on digital transformation
Process improvement (e.g., Lean Six Sigma, PMP, Prosci Change Management) experience and/or familiarity with process optimization models (POM)

Responsibilities

Recruits, develops, and sustains a high-performing team while promoting a culture of shared accountability, operational excellence, and partnership across the organization.
Working with other senior Supervision leaders, facilitating departmental strategic planning, results management efforts, and comprehensive risk analysis.
Coordinate planning efforts with other internal and external stakeholders.
Capture and manage analysis of risk/operational data to optimize supervision and surveillance processes, field educational/training opportunities, and identify applicable risks, addressing and escalating as appropriate.
Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening Thrivent’s trusted reputation, enhancing the efficiency and effectiveness of supervision, and improving business and operational processes.
Lead teams that document outcomes/findings, communicates both verbally and in writing with financial advisors regarding opportunities for improvement, and escalates identified risks as applicable to the Field Risk Management team and/or supervision/field leadership as appropriate.
Implement supervisory processes, procedures, and tools to effectively supervise registered representative activities and help ensure compliance with applicable regulations and internal policies.
Maintain extensive subject matter expertise in the areas of strategic, operational, financial and law/compliance risks and related governance practices.
Confidently present and articulate the work performed by the team during arbitration matters, to regulators and government entities.
Interface with field and other senior leaders in the firm and provide consultative services regarding supervisory responsibilities and risks to the firm.
Lead groups and/or committees for special projects to enhance supervision processes and broader firm initiatives.
Serves as a liaison for regulators and auditors as applicable.
Models Thrivent’s leadership competencies – Model the Way, Rally the Team, and Deliver Outcomes.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement, exceptional employee engagement, and an unwavering commitment to our clients.
Shapes and/or supports a culture that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.