Director, National Supervision

Minneapolis, MN - USA

Yearly Salary: $ 146428 - 198108

Posted on: 23 hours ago

Vacancies: 1 Vacancy

Job Summary

The Director National Supervision provides enterprise-wide strategic leadership for Enterprise Supervision functions including Surveillance Branch Examinations and Support across distribution channels. This role sets the vision and direction for supervisory programs ensuring alignment with organizational objectives and regulatory expectations.

As a key risk leader the Director drives the development and execution of comprehensive supervision strategies that proactively identify assess and mitigate regulatory operational financial and reputational risks. This position partners with leaders to influence firm-wide policies enhance governance frameworks and ensure adherence to SRO federal and state regulations.

The Director is accountable for measurable outcomes including the effectiveness of supervisory controls risk reduction and operational efficiency. This role fosters a culture of compliance and ethical conduct leads high-performing teams and leverages data-driven insights to strengthen supervisory practices and support sustainable business growth.

DUTIES & RESPONSIBILITIES:

Recruits develops and sustains a high-performing team while promoting a culture of shared accountability operational excellence and partnership across the organization.
Working with other senior Supervision leadersfacilitatingdepartmental strategic planning results managementeffortsand comprehensive risk analysis.
Coordinate planning efforts with other internal and external stakeholders.
Capture and manage analysis of risk/operational data tooptimizesupervision and surveillance processes field educational/training opportunities andidentifyapplicable risks addressing and escalating asappropriate.
Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening Thrivents trusted reputation enhancing the efficiency and effectiveness of supervision and improving business and operational processes.
Lead teams that document outcomes/findings communicates both verbally and in writing withfinancial advisorsregardingopportunities for improvement and escalates identified risks as applicable to the Field Risk Management team and/or supervision/field leadership asappropriate.
Implement supervisory processes procedures and tools to effectively supervise registered representative activities and help ensure compliance with applicable regulations and internal policies.
Maintain extensive subject matter expertise in the areas of strategic operational financial and law/compliance risks and related governance practices.
Confidently present and articulate the work performed by the team duringarbitrationmatters to regulators and government entities.
Interface with field and other senior leaders in the firm and provide consultative servicesregardingsupervisory responsibilities and risks to the firm.
Lead groups and/or committees for special projects to enhance supervision processes and broader firm initiatives.
Serves as a liaison for regulators and auditors as applicable.
Models Thrivents leadership competencies Model the Way Rally the Team and Deliver Outcomes.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused oncontinuous improvement exceptional employee engagement and an unwavering commitment to our clients.
Shapes and/or supports a culture thatrepresentsthe Thrivent purpose promise and values ensuring thatThrivents trust and reputation remain strong with its clients.

QUALIFICATIONS & SKILLS:

Required:

College degree or equivalent industry experienced required
FINRA licenses: Series 7 63/65 or 66 and 24 are required or obtained within 90 days of hire
10 years industry and supervisory/risk management experience
Exceptional leadership skills and demonstrated ability to manage diverse teams
Demonstrated ability to partner and present to all levels of management and senior management
Strong strategic management and decision-making abilities
Excellent conflict management skills
Strong knowledge of industry products and investment advisory services
Excellent written and verbal communication skills
Ability to work independently and meet deadlines in a fast-paced environment
Strong analytical and organizational skills
Demonstrated ability to provide strategic direction and influence behavior without direct reporting relationships

Preferred:

Advanced degree preferred (JD MBA).
Advanced industry designation preferred (CFP CLU or ChFC).
Demonstrated familiarity with Microsoft Copilot or simar artificial intelligence (AI) tools or resources with an emphasis on digital transformation
Process improvement (e.g. Lean Six Sigma PMP Prosci Change Management) experience and/or familiarity with process optimization models (POM)

Pay Transparency

Thrivents long-term growth depends on attracting rewarding and retaining people who are committed to helping others thrive with purpose. We accomplish this by offering a wide variety of market competitive compensation programs to attract reward and retain top talent. The applicable salary or hourly wage range for this full-time role is $146428.00 - $198108.00 per year which factors in various geographic regions. The base pay actually offered will be determined by a variety of factors including but not limited to location relevant experience skills and knowledge business needs market demand and other factors Thrivent deems important.

Thrivent is unique in our commitment to helping people to be wise with money and live balanced and generous lives. That extends to our benefits.

The following benefits may be offered: 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 and other employee benefits. Eligibility for receipt of these benefits is subject to the applicable plan/policy documents. Thrivents plans/policies are subject to change at any time at Thrivents discretion.

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 other status 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 toor calland request Human Resources.

Required Experience:

Director