Principal
Free to start · No card · 5 credits the moment you sign up
Job description
DUTIES & RESPONSIBILITIES:
- Reviews and monitors the firm's insurance, securities, and/or investment advisory activities to ensure compliance with policies and regulations, and to protect Thrivent Financial member-owners' interests.
- Make risk-based decisions in line with standard operating procedures, escalating 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.
Describe below the audience this role will interact with and level of influence they will have on those roles.
- Managers, individual contributors, field employees, vendors, contractors and consultants.
QUALIFICATIONS & SKILLS:
Required:
- College degree or equivalent work experience
- 0-1 year working in the financial services industry
- Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply 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 and annuities, mutual funds, 529s, equity, fixed income, margin, advisory and related product lines)
- FINRA Series 7, 24 or 9/10, 63/65 or 66 required or obtained within 90 days of hire/transfer. FINRA Series 4, 51, 52, or 53 may also be required as directed by the manager and is dependent upon specific job responsibilities.
Preferred:
- 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.
Thrivent provides Equal Employment Opportunity (EEO) without regard to race, religion, color, sex, gender identity, sexual orientation, pregnancy, national origin, age, disability, marital status, citizenship status, military or veteran status,genetic information, or any otherstatus protected by applicable local, state, or federal law. This policy applies to all employees and job applicants.
Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation, please let us know by sending an email to or call 800-847-4836 and request Human Resources.
#RemoteOriginally posted on Himalayas
Prepare your application
Use the description above to assess your fit for Thrivent Financial for Lutherans. This checklist is guidance from Resumize, rather than additional requirements from the employer. Imported listings can be shortened or change after collection, so confirm the complete description and current availability before sending an application.
Match requirements to evidence
Identify the responsibilities and skills the employer explicitly names. For each important requirement, choose one example from your work, education, training, or projects. Explain what you did, how you did it, and what changed as a result. Include a measurable outcome when you can support it. If you lack a requirement, describe related experience accurately instead of adding an unfamiliar skill to your resume.
Put the most relevant examples near the top of your resume. Keep job titles, dates, qualifications, and contact details consistent across your application materials. Use the employer’s terminology when it describes your experience accurately; a copied list of keywords does not explain your contribution. A short, specific bullet is easier to review than a paragraph that mixes several unrelated duties.
Check the working arrangement
Confirm the location, schedule, employment type, and any eligibility requirements on the employer’s site. A remote label does not establish worldwide eligibility or flexible hours. If compensation, benefits, equipment, travel, or contract duration are missing from this listing, write down your questions for the recruiter. Do not assume details from another opening at the same company apply to this role.
Review before submitting
Follow the employer’s requested file format and application instructions. Open your exported resume and check that its text is selectable, its sections read in order, and its links work. Proofread names, dates, and contact information. Share confidential work samples only when you have permission, and use an anonymized example when necessary.
Submit through a trusted employer or recruiting destination. If the original listing has disappeared, search the employer’s careers page for the title rather than assuming the vacancy remains open. Save the application date, job reference, and the version of your resume you sent. Those details help you prepare for a later conversation and avoid submitting conflicting information through several job boards.
Review your resume for writing and readability feedback, or browse other openings if this opportunity is unavailable.