Manager, Compliance – LIC

🔥 13 hours ago

🇺🇸 United States – Remote

💵 $114.7k - $155.2k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Thrivent

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded 1922

🏦 Banking

💸 Finance

🛡️ Insurance

Banking • Finance • Insurance

Thrivent is a holistic financial services organization that provides advice, investments, insurance, banking, and generosity programs. With a mission to reimagine financial services, Thrivent helps individuals and communities thrive by viewing money as a tool rather than a goal. Serving over 2 million clients, Thrivent is dedicated to helping them build their financial futures while living meaningful lives. The company is committed to diversity, equity, and inclusion, and it provides competitive compensation, professional growth opportunities, and programs to amplify generosity and impact. As a recognized leader in ethical financial practices, Thrivent has been named one of the "World's Most Ethical Companies" by the Ethisphere Institute and is included in Forbes' list of America's Best Insurance Companies.

📋 Description

• Perform ongoing testing and reviews of RIA policies, procedures, products, and operations pursuant to SEC Rule 206(4)-7 • Participate in and contribute to RIA compliance and risk management initiatives, committees, and working groups • Analyze complex compliance risks within RIA business units and functions and provide guidance • Implement compliance risk management strategies and methods, including quality assessments, key risk and performance measurement data, oversight monitoring, and mitigation strategies • Partner with LOB leaders and senior teammates on strategic initiatives, providing counsel and oversight • Complete assigned tasks and projects from the Chief Compliance Officer • Supervise and provide leadership to achieve legal, regulatory, compliance, and supervision objectives • Build and maintain a high-performing team by selecting, developing, coaching, rewarding, and recognizing team members • Conduct in-depth analysis and research of complex compliance issues and implement necessary resolutions • Assist with the annual compliance review pursuant to SEC Rule 206(4)-7 • Coordinate and execute incident management with appropriate organizational areas • Collaborate with enterprise-wide business and compliance teams to carry out compliance program requirements and enterprise-wide initiatives • Evaluate and review business practices proactively and provide consultation and training to TAN business units to identify, minimize, and manage risk • Interact effectively with advisor practices at the ground level • Perform other duties as assigned or as business needs dictate

🎯 Requirements

• Series 65 or 66, or relevant professional designation, or ability to acquire within 90 days • Bachelor’s Degree in business or related field • Significant (5 plus years) industry experience related to financial services, insurance, securities and/or investment management • Extensive knowledge of Registered Investment Adviser business and securities regulatory requirements in the independent advisor space • Demonstrated track record of effectively consulting with financial advisory practices at all levels of their organization • Previous regulatory and/or compliance experience required • Strong interpersonal, negotiation, oral, and written communication skills • Creative problem-solving skills, attention to detail, and excellent follow-up skills • Project management and time management skills • Leadership skills and ability to influence others without direct authority • Ability to lead multiple projects in a highly visible, fast-paced environment with minimal supervision • High level of personal and professional integrity and ability to maintain confidentiality

🏖️ Benefits

• Various bonuses, including annual or long-term incentives • Medical, dental, and vision insurance • Health savings account • Flexible spending account • 401(k) • 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 • Employee Assistance Program (EAP) • Well-being benefits • Other employee benefits