Director, Field & Sales Compliance

This position has primary responsibility for developing, implementing and coordinating the compliance department teams supporting field, sales and marketing compliance. The position is also responsible for general managerial tasks to include: planning, budgeting, supervising and developing staff.Position Roles/Responsibilities/Accountabilities
Develop and implement strategy and tactics for field, sales and marketing compliance, with a focus on advertising review, branch office compliance, licensing and registration
Develop the unit’s business plan, set and communicate goals, develop and enhance unit continuous improvement goals and performance metrics, lead unit efforts, monitor unit performance and take action as appropriate
Provide consultative support on key business projects and deliverables, with a focus on Thrivent’s Retirement, Mid-Market and Distribution strategies
Accountability for service delivery and customer satisfaction as it relates to field, sales and marketing compliance services
Ongoing contribution to the Compliance Department philosophy, methodology and processes
Routine interaction with Compliance and Legal department managers, Field managing partners and market conduct specialists, and Distribution and Marketing business unit managers
Assess the validity, effectiveness, and future needs related to compliance
Recruit and retain individuals whose skills, knowledge and abilities are congruent with the job responsibilities and with the organization’s mission, vision and values
Coach and mentor staff
Interact with other business units, providers, and advisorsPosition Qualifications
A highly successful track record with significant professional experience with a strong focus on risk identification, risk management and compliance principles
Ability to lead high-performance goal-focused teams and projects
Ability to maintain accountability while achieving a high level of customer satisfaction
Possess superior verbal and written communication skills
Possess a thorough understanding of the current regulatory environment impacting registered broker-dealers
Project management experience
Series 24 within 90 days of hireCompetencies
Strategic Thinking and Vision
Direct and Indirect Leadership Skills
Collaboration
Communication
Innovation
Ownership of Results
Risk Taking
Analytical Skills
Business Acumen
Time Management SkillsExternal/Internal Dependencies
Other Compliance units
Law Department
Other business units
REQUIREMENTS
Please see Job Description