Mgr, Suitability

The Manager, Suitability leads a team within Enterprise Supervision and is accountable for providing strategic leadership, operational oversight, and subject matter expertise related to suitability supervision activities. This role ensures Thrivent’s insurance, securities, and investment advisory sales practices comply with applicable regulatory requirements while supporting business objectives and protecting the organization from regulatory, financial, and reputational risk. The manager partners closely with Supervision Leadership, Compliance, Legal, Field Leadership, and other stakeholders to deliver consistent, high-quality suitability outcomes. The role promotes a culture of accountability, continuous improvement, and client-centric decision-making aligned with Thrivent’s purpose, promise, and values.

DUTIES & RESPONSIBILITIES:

• Provide leadership and oversight of suitability review activities, ensuring consistent and risk-based application of regulatory and internal requirements.

• Establish performance expectations, goals, and metrics aligned with Enterprise Supervisionobjectivesand Thrivent strategic priorities.

• Apply deep knowledge of insurance, securities, and investment advisory regulations toidentify, assess, and mitigate regulatory, financial, and reputational risk.

• Evaluate the effectiveness of suitability controls and recommend enhancements in response to regulatory change, business evolution, or emerging risk.

• Partner with Legal, Compliance, Field Leadership, and other stakeholders on sales practice issues, special projects, and enterprise initiatives.

• Lead and coordinate responses to regulatory inquiries, examinations, and audits related to suitability supervision.

• Serve as a subject matter expert on suitability and regulatory risk matters, providing guidance and recommendations to leadership.

• Recruits, develops, and sustains a high-performing team while promoting a culture of shared accountability, operational excellence, and partnership across the organization.

• Models Thrivent’s 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 on continuous improvement, exceptional employee engagement, and an unwavering commitment to our clients. Shapes and/or supports a culture thatrepresentsthe Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients. ​

Describebelowthe audiencethis role will interact withand level of influencethey willhave on those roles.

This position interacts with individual contributors, managers, directors, and senior leaders across Thrivent; field leadership and advisors; internal partners including Compliance and Legal; and external vendors or consultants. The Manager, Suitability exercises influence through expert guidance, risk-based recommendations, and leadership on suitability and regulatory matters.

QUALIFICATIONS & SKILLS:

 Required:

• College degree or equivalent work experiencerequired.

• 10+ years working in the financial services industry and/or compliance related experiencerequired.

• Extensive knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply asrequired.

• Extensive level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory, and alternative/complex products), best practices, and trends.

• Extensiveleadershipexperience, includingtraining, mentoring, and developing teammates. 

• Strong analytical and technical skills, including experience with Excel, CoPilot,AIand financial services tools.

• Ability to act independently and take accountability for high-impact decisions. 

• Excellent communication,collaborationand influence skills among all organizational levels; strong facilitation and executive communications skills.

• FINRA Series 4, 7, 24,52(for individuals that passed the Series 7 after 11/7/2011), 53, 66 or 63/65requiredor obtained within90 daysof hire/transfer or a combination thereof as directed by the manager and dependent upon specific job responsibilities.

Pay TransparencyThrivent’s 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 $114,731.00 - $155,224.00 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. Thrivent’s plans/policies are subject to change at any time at Thrivent’s 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 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.

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Originally posted on Himalayas