Branch Examiner at Thrivent

Responsible for independently performing all functions of branch exams including thorough on-site evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations. Job Duties and ResponsibilitiesAccountable for planning and preparation of pre-audit material scheduling of exams travel arrangements confirmations and questionnaires to branch offices and managing associated expenses.Conduct effective exams in both virtual and on-site settings.Provide instructions both verbally and in writing to correct findings and conduct follow up that these issues are appropriately closed in accordance with Firm policies and regulations.Confidently present and articulate the work performed during branch exams during arbitration matters to regulators and others.Participate in groups and/or committees for special projects to enhance audit processes and broader firm initiatives.Collaborate with other Supervisory/Compliance groups and Field leaders to assess the overall quality of Advisor sales practicesRequired Job QualificationsCollege degree or equivalent industry experienced requiredFINRA SIE andSeries 7 63/65 or 66 and 24 are required or obtained within 90 days of hire5 years industry experienceStrong knowledge of products and IA requirementsDemonstrated solid decision making abilitiesExcellent written and verbal communication skillsDemonstrated ability to work independently and meet deadlines in a fast paced environmentStrong analytical and organizational skillsWillingness to travel: 40% required travel Pay TransparencyThrivents 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 $85613.00 - $115830.00 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. Key Skills Auditing,GAAP,Military Experience,Phlebotomy,Conflict Management,Vital Signs Experience,Computer Forensics,Research Experience,Securities Law,Operating Systems,PTSD Care,RMF Employment Type : Full-Time Experience: years Vacancy: 1 Yearly Salary Salary: 85613 - 115830