Principal

Thrivent • Minneapolis, MN

3h • Remote

About The Position

The Principal role focuses on suitability and best-interest reviews of the firm’s insurance, securities, and/or investment advisory business. The position emphasizes sound judgment, technical knowledge, and adherence to regulatory standards. Principals demonstrate emerging leadership by fostering collaboration and accountability within their immediate team and business partners, while escalating concerns appropriately.

The role interacts with managers, individual contributors, field employees, vendors, contractors, and consultants. It supports compliance and operational goals, risk management, client services, and continuous improvement.

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, with 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 products, including life and annuities, mutual funds, 529s, 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 to ensure compliance with policies and regulations and 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.

Benefits

• Various bonuses, including annual or long-term incentives.
• Medical, dental, and vision insurance.
• Health savings account.
• Flexible spending account.
• 401(k).
• Pension.
• Life and accidental death and dismemberment insurance.
• Disability insurance.
• Supplemental protection insurance.
• 20 days of paid time off each year.
• Sick and Safe Time.
• 10 paid company holidays.
• Volunteer Time Off.
• Paid parental leave.
• Employee Assistance Program (EAP).
• Well-being benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal