VP, Enterprise Supervision

Thrivent•Minneapolis, MN

About The Position

The Vice President, Enterprise Supervision leads the design, implementation and oversight of the supervision programs across Thrivent Investment Management Inc. (TIMI) broker/dealer and investment advisory business, and Thrivent insurance products, as well as for all securities-registered staff including financial advisors across all distribution channels. The position is collectively accountable for supervising 2,300+ geographically dispersed representatives. The Vice President delivers enterprise-wide leadership, strategic oversight and guidance across multiple risk disciplines and functional areas ensuring compliance with all SRO, federal, and state laws and regulations. The position maintains overall accountability for Suitability, National Supervision, Field Risk Management, and Branch Examinations across the enterprise. This role develops and maintains compliance policies and establishes effective review procedures to mitigate risk. As a strategic advisor and senior leader, the position requires deep regulatory expertise, the ability to influence across all levels, and foster close partnership with business leaders. The VP safeguards Thrivent’s integrity, supports sustainable growth and adds value to the Client and Advisor experience. The Vice President will serve as a trusted advisor and lead by example demonstrating the highest professional standards. As an inspirational and forward-thinking leader, this role fosters a culture of excellence, accountability and innovation to consistently deliver strong outcomes. This position is a member of the General Counsel’s Office (GCO) senior leadership team contributing to enterprise strategy and governance reporting to the EVP, Chief Legal Officer, General Counsel & Secretary.

Requirements

College degree or equivalent industry experience
FINRA licenses: Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire.
10+ years of industry and supervisory/risk management experience.
Exceptional leadership skills and demonstrated ability to manage diverse teams
Demonstrated experience in successfully leading and managing a large, geographically dispersed business unit.
Extensive supervisory experience in the financial services industry including a deep understanding of financial services regulatory environment in broker/dealer, investment advisory and insurance markets.
Knowledge and understanding of comprehensive financial planning/advice/sales processes and experience effectively integrating compliance requirements/best practices into the way f inancial advisors conduct their businesses and ultimately serve clients
Demonstrated experience in sponsoring and leading significant change initiatives
Ability to build strong rapport and effectively influence/collaborate with both field and corporate leaders, to facilitate good decision making and drive compliant behavior.
Demonstrated critical thinking skills and sound decision making.
Ability to establish credibility , build effective partnerships and influence senior business leaders.
Strong interpersonal and communication skills, especially large group presentation experience.
Strategic thinker with a compelling vision for the integration of compliance within financial advisors’ practices and the positive impact on client experience/engagement.
Self-directed, able to effectively manage ambiguity, change, and transformation in a fast-paced environment.

Nice To Haves

Advanced degree preferred (JD, MBA).
Advanced industry designation preferred (CFP, CLU or ChFC ).
Certifications or coursework in AI strategy, digital transformation, or process improvement (e.g., Lean Six Sigma, PMP, Prosci Change Management, AI for Business ).

Responsibilities

Lead the design and execution of enterprise supervision programs ensuring alignment with regulatory requirements and business objectives
Serve as the primary supervision authority for TIMI, Thrivent Insurance Products and the securities-registered workforce.
Interpret complex industry regulations and requirements, translating them into actionable strategies and solutions for distribution channels.
Lead a team of senior professionals overseeing Suitability, National Supervision, Field Risk Management and Branch Examinations.
Design and execute the Supervision Teams strategic business plan, aligning supervisory systems, priorities and procedures with organizational objectives and regulatory compliance
Partner with senior business leaders to develop, evolve and operationalize supervision policies and maintain effective and efficient controls.
Conduct proactive self-assessments against regulatory priorities and emerging and evolving expectations.
Identify areas of vulnerability and risk partnering with Legal, Compliance, and business leaders to develop and implement effective solutions
Oversee corrective action plans and provide expert guidance to prevent recurrence.
Enable enterprise growth through efficient solutions-oriented supervision support.
Protect Thrivent’s reputation and serve as an objective supervisory resource to the Field and Field Leaders, thus benefiting clients and adding value to the client and advisor experience.
Recruit, develop, and sustain a high-performing team while promoting a culture of shared accountability, operational excellence, and partnership across the organization.
Inspire and influence stakeholders at all levels to embrace modernization initiatives – such as AI integration and process optimization models (POM) – ensuring sustainable adoption and value realization across the organization.
Ensure timely and accurate reporting of violations or potential violations as
Model Thrivent’s leadership competencies – Model the Way, Rally the Team, and Deliver Outcomes
Support and/or develop 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.
Visible engagement as a senior leader in the day-to-day culture of the GCO. This leader exemplifies organizational stewardship by acting in the best interest of the enterprise. The incumbent will manage strategic communications and decisions ensuring alignment with Thrivent’s goals and strategies.
Fosters strong partnership with Distribution Division and may interact with leaders at all levels and key stakeholders across the organization.
May represent Thrivent at external /professional events.