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Senior Principal of Financial Strategy

2 months ago

Iowa, Louisiana, United States Thrivent Financial Full time
Position Overview

The Senior Principal of Financial Strategy is a fully qualified, high-level role responsible for overseeing and monitoring the firm's insurance, securities, and investment advisory operations.

This position demands extensive technical knowledge and product expertise to mitigate the firm's financial risks.

Senior Principals play a crucial role in ensuring adherence to Thrivent Financial for Lutherans policies, as well as compliance with Thrivent Investment Management, Inc.'s Compliance Manual and Written Supervisory Procedures, alongside the regulations set forth by all 50 states, FINRA, and the SEC.

The role requires a comprehensive understanding of both current and historical investment and insurance products, along with the capacity to make informed judgments and accept calculated risks.

Senior Principals are responsible for escalating issues to the appropriate authorities for necessary education or disciplinary measures. They ensure that clients receive fair, honest, and equitable treatment through thorough reviews. This position is dedicated to maintaining quality and demonstrates the initiative to identify and implement efficiencies.

Key Responsibilities


1. Conduct in-depth reviews and monitor the activities of the firm's insurance, securities, and retail advisory sectors to ensure compliance with firm policies and regulatory standards, while safeguarding the interests of Thrivent Financial member-owners.

2. Analyze various product lines to identify trends and areas of concern.

3. Document and address issues, escalating them when necessary.

4. Assist management, Field Supervision, Compliance, and Client Relations with escalated matters.

5. Provide exceptional customer service to both new and existing Financial Advisors and other field personnel.


6. Independently manage advanced inquiries with minimal direction, offering guidance and resources to less experienced principals.

Additional Responsibilities for Financial Planning Services:

1. Review written recommendations from Financial Advisors for compliance with firm policies and procedures.

2. Educate Financial Advisors on financial planning requirements and best practices.

3. Perform supervisory tasks supporting other areas of Enterprise Supervision as needed.

4. Participate in financial planning business meetings and initiatives as directed by management.

5. Stay informed on trends, concepts, developments, and legislation affecting financial planning and analysis.

Qualifications

1. A college degree or equivalent work experience is required.

2. 5-7 years of experience in the financial services industry or a directly related compliance role.

3. Advanced analytical skills and independence.

4. In-depth knowledge of FINRA/SEC/IA/NAIC/MSRB regulations and the ability to interpret and apply them as necessary.


5. A thorough understanding of financial services industry products, including life and annuities, mutual funds, equities, fixed income, options, margin, advisory, and related product lines.


6. FINRA Series 7, 24, 66, or 63/65 is required or must be obtained within a specified timeframe as directed by management based on specific job responsibilities.

Additional Qualifications for Financial Planning Services:

1. Strong knowledge of the financial planning business, with 1-3 years of experience in financial planning compliance, supervision, operations, or a similar role.

2. Familiarity with financial planning tools/software, such as MoneyGuide Pro, is advantageous.

Critical Skills

1. A solid understanding of financial planning and advisory service concepts.

2. Ability to present case findings to management and corporate staff effectively.

3. Strong time management skills, with the ability to handle multiple tasks efficiently and produce accurate work in a fast-paced environment.