Director, National Supervision
Thrivent Financial, Minneapolis, Minnesota, United States, 55400
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 leaders, facilitating departmental strategic planning, results management efforts, and comprehensive risk analysis.* Coordinate planning efforts with other internal and external stakeholders.* Capture and manage analysis of risk/operational data to optimize supervision and surveillance processes, field educational/training opportunities, and identify applicable risks, addressing and escalating as appropriate.* Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening Thrivent’s 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 with financial advisors regarding opportunities for improvement, and escalates identified risks as applicable to the Field Risk Management team and/or supervision/field leadership as appropriate.* 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 during arbitration matters, to regulators and government entities.* Interface with field and other senior leaders in the firm and provide consultative services regarding supervisory 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 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 that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s 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 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 $146,428.00 - $198,108.00 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 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 to human.resources@thrivent.com or call 800-847-4836 and request Human Resources.*At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice, investments, insurance, banking and generosity programs to help people make the most of all they’ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our customers. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want today—and tomorrow.For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, it’s a Fortune 500 company that offers a full range of expert financial solutions, serving more than 2 million customers, as well as the communities in which they live and work.Thrivent fosters a diverse workforce to #J-18808-Ljbffr
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 leaders, facilitating departmental strategic planning, results management efforts, and comprehensive risk analysis.* Coordinate planning efforts with other internal and external stakeholders.* Capture and manage analysis of risk/operational data to optimize supervision and surveillance processes, field educational/training opportunities, and identify applicable risks, addressing and escalating as appropriate.* Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening Thrivent’s 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 with financial advisors regarding opportunities for improvement, and escalates identified risks as applicable to the Field Risk Management team and/or supervision/field leadership as appropriate.* 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 during arbitration matters, to regulators and government entities.* Interface with field and other senior leaders in the firm and provide consultative services regarding supervisory 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 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 that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s 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 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 $146,428.00 - $198,108.00 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 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 to human.resources@thrivent.com or call 800-847-4836 and request Human Resources.*At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice, investments, insurance, banking and generosity programs to help people make the most of all they’ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our customers. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want today—and tomorrow.For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, it’s a Fortune 500 company that offers a full range of expert financial solutions, serving more than 2 million customers, as well as the communities in which they live and work.Thrivent fosters a diverse workforce to #J-18808-Ljbffr