Principal

Thrivent•Minneapolis, MN

2d•$63,741 - $86,238•Remote

About The Position

The Principal role focuses on suitability and best-interest reviews of Thrivent Financial’s insurance, securities, and/or investment advisory business. The position applies technical knowledge and sound judgment to help ensure adherence to regulatory standards and protect member-owners’ interests. Principals demonstrate emerging leadership by fostering collaboration and accountability within their immediate team and with business partners, and by escalating concerns appropriately. The role interacts with managers, individual contributors, field employees, vendors, contractors, and consultants. The position is remote. This full-time role offers a salary range of $63,741 to $86,238 per year, subject to factors such as location, relevant experience, skills, knowledge, business needs, and market demand. Benefits may include bonuses, medical, dental, and vision insurance, a health savings account, a flexible spending account, a 401(k), a pension, life and accidental death and dismemberment insurance, disability and supplemental protection insurance, paid time off, sick and safe time, paid company holidays, volunteer time off, paid parental leave, an employee assistance program, and well-being benefits. Benefit eligibility is subject to applicable plan documents and policies.

Requirements

College degree or equivalent work experience.
0–1 year working in the financial services industry.
Basic knowledge of FINRA, SEC, IA, and MSRB rules and regulations, and the ability to interpret and apply them as required.
Demonstrated critical thinking, personal accountability, and confidence in decision-making.
Ability to collaborate effectively within a team environment.
Resilience and adaptability in addressing routine challenges and changes.
Solid understanding of financial services industry products, including life insurance and annuities, mutual funds, 529 plans, equity, fixed income, margin, advisory, and related product lines.
FINRA Series 7, 24 or 9/10, and 63/65 or 66 required, or to be obtained within 90 days of hire or transfer.
FINRA Series 4, 51, 52, or 53 may also be required as directed by the manager, depending on specific job responsibilities.

Nice To Haves

Experience participating in process improvement or operational efficiency projects.
Exposure to compliance or regulatory environments in financial services.
Familiarity with Thrivent’s core values and leadership behaviors.
Initiative in supporting client-focused solutions.
Prior experience reviewing correspondence and trade review.

Responsibilities

Review and monitor the firm’s insurance, securities, and/or investment advisory activities for compliance with policies and regulations and to protect Thrivent Financial member-owners’ interests.
Make risk-based decisions in line with standard operating procedures and escalate complex or high-risk issues to management as appropriate.
Model Thrivent’s core values and leadership behaviors in daily activities.
Collaborate with team members and business partners to achieve compliance and operational goals.
Participate in initiatives that enhance risk management, client services, and operational efficiency and excellence.
Support a culture of continuous improvement and accountability.