Principal

This is a fully remote position, open to applicants in Minnesota.

📋 Description

• Oversee and evaluate the firm's insurance, securities, and/or investment advisory operations to ensure compliance with established policies and regulations.

• Safeguard the interests of Thrivent Financial member-owners.

• Make decisions based on risk assessments in line with standard operating procedures.

• Refer complex or high-risk matters to management as necessary.

• Exemplify Thrivent’s core values and leadership behaviors.

• Work collaboratively with team members and business partners to meet compliance and operational objectives.

• Engage in initiatives aimed at enhancing risk management, client services, operational efficiency, and overall excellence.

• Foster a culture of continuous improvement and accountability.

• Communicate with managers, individual contributors, field employees, vendors, contractors, and consultants.

⛳️ Requirements

• A college degree or equivalent professional experience.

• 0–1 year of experience in the financial services sector.

• Basic understanding of FINRA, SEC, IA, and MSRB rules and regulations, with the ability to interpret and apply them effectively.

• Proven critical thinking skills, personal accountability, and confidence in decision-making.

• Ability to work collaboratively in a team setting.

• Resilience and flexibility in addressing routine challenges and changes.

• Strong knowledge of financial services industry products, including life and annuities, mutual funds, 529 plans, equity, fixed income, margin, advisory, and related product lines.

• FINRA Series 7, 24 or 9/10, 63/65 or 66 is required, or must be obtained within 90 days of hire/transfer.

• FINRA Series 4, 51, 52, or 53 may also be required as directed by management, depending on specific job responsibilities.

• Preferred: Experience in process improvement or operational efficiency projects.

• Preferred: Familiarity with compliance or regulatory environments in the financial services industry.

• Preferred: Understanding of Thrivent’s core values and leadership behaviors.

• Preferred: Proactive in supporting client-focused solutions.

• Preferred: Previous experience in reviewing correspondence and trade assessments.

🏝️ Benefits

• Various bonuses, including annual or long-term incentives.

• Medical, dental, and vision insurance.

• Health savings account.

• Flexible spending account.

• 401(k) plan.

• Pension plan.

• 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.

• Additional employee benefits.