- Conducts the most complex reviews and monitors activity of the firm’s insurance, securities, and retail advisory business to ensure firm policy and regulatory compliance, as well as the safeguarding of Thrivent Financial member-owners interests. Able to analyze across multiple product lines and identify trends.
- Identify, address, and document concerns, escalating when appropriate.
- Provides assistance to management, Field Supervision & Managing Partners, Compliance, and Member Relations regarding escalated concerns.
- Provide professional, quality customer service to new and existing members, Wealth Advisors, Pinnacle Leaders Group, Financial Representatives, and other field personnel.
- Appropriately handles complex level inquiries independently, with minimal to no direction, providing work direction and resource for less experienced principals.
- Mentors, trains and provides work direction to less experienced principals. Ensures prompt response to inquiries within preset department guidelines.
- Intuitively serves as back up to management and provide consult to business process analysts
- College degree or equivalent work experiencerequired.
- 8+ years working in the financial services industry and/or compliance related experiencerequired.
- Advanced levels of analysis and independence.
- FINRA Series 4, 7, 24, 52 (for individuals that passed the Series 7 after 11/7/2011), 53, 66 or 63/65 required or obtained within 90 days of hire/transfer or a combination thereof as directed by the manager and dependent upon specific job responsibilities.
- Possesses advanced knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required.
- Maintains an extensive level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory and related product linesrequired)
Other Critical Factors
- Understands financial planning and advisory service concepts.
- Disseminates and presents case findings to management, field management and other corporate staff and managers
- Leads projects/meetings related to developing or enhancing tools and/or processes.
- Exercises time management skills; ability to handle multiple tasks effectively and produce accurate work in a fast-paced environment.