Broker Dealer and Investment Advisor – Lending Manager

Emploi pas sur LinkedIn

🕒 il y a 3 mois

❄️ Minnesota – Distant

❄️ Minnesota – Remote

💵 $114 731 - $155 224 / an

⏰ Temps Plein

🟠 Senior

🔴 Expert

💸 Planification et Analyse Financières (FP&A)

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Thrivent

Site WebLinkedInTous les Emplois

5001 - 10000 employés

Fondée en 1922

🏦 Banque

💸 Finance

Banking • Finance • Insurance

Thrivent est une organisation de services financiers holistiques qui propose des conseils, des investissements, des assurances, des services bancaires et des programmes de générosité. Avec pour mission de réimaginer les services financiers, Thrivent aide les individus et les communautés à prospérer en considérant l'argent comme un outil plutôt qu'un objectif. Servant plus de 2 millions de clients, Thrivent est dédiée à les aider à construire leur avenir financier tout en vivant des vies significatives. L'entreprise s'engage en faveur de la diversité, de l'équité et de l'inclusion, et propose des rémunérations compétitives, des opportunités de croissance professionnelle, et des programmes pour amplifier la générosité et l'impact. En tant que leader reconnu dans les pratiques financières éthiques, Thrivent a été nommée parmi les « entreprises les plus éthiques au monde » par l'Ethisphere Institute et figure dans la liste de Forbes des meilleures compagnies d'assurance en Amérique.

Description

• Design, oversee, and enhance advisor lending programs including recruiting, retention, transition, and succession loans • Establish governance, policies, approval frameworks, and controls Align lending programs with firm strategy and risk appetite • Serve as primary liaison with Legal and Compliance • Ensure compliance with applicable federal, state and self-regulatory organization rules and regulations related to lending, including FINRA Rule 3240 • Lead audit and exam preparation related to lending programs • Monitor regulatory changes and recommend program updates • Oversee underwriting standards and credit reviews • Monitor loan portfolio health, concentrations, and repayment performance • Lead escalation, remediation, and recovery efforts • Ensure effective loan administration, documentation, and controls • Partner with Finance on accounting, accruals, reserves, and write-offs • Drive operational efficiency and scalability • Act as a trusted advisor to leadership and field management • Support recruiting and retention strategies • Communicate clearly with advisors regarding loan terms and obligations • Provide executive-level reporting on loan balances, risk, and ROI • Deliver insights to support strategic decision-making

🎯 Exigences

• Bachelor’s degree in Finance, Business, Accounting, or related field • 8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending • Strong knowledge of FINRA rules and broker-dealer and investment advisor regulatory frameworks • Experience influencing senior leaders • FINRA Series 7, and 24 or 27 required or obtained within 90 days of hire/transfer • Strong independent judgment and risk management capability • Executive communication and stakeholder management skills • High attention to detail with strategic perspective • Ability to operate effectively in a regulated environment

🏖️ Avantages

• various bonuses (including, for example, annual or long-term incentives) • medical, dental, and vision insurance • health savings account • flexible spending account • 401k • 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 • EAP • well-being benefits • other employee benefits