Broker Dealer and Investment Advisor – Lending Manager
Thrivent
full-time
Posted on:
Location Type: Remote
Location: Minnesota • United States
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Salary
💰 $114,731 - $155,224 per year
About the role
- Design, oversee, and enhance advisor lending programs including recruiting, retention, transition, and succession loans
- Establish governance, policies, approval frameworks, and controls Align lending programs with firm strategy and risk appetite
- Serve as primary liaison with Legal and Compliance
- Ensure compliance with applicable federal, state and self-regulatory organization rules and regulations related to lending, including FINRA Rule 3240
- Lead audit and exam preparation related to lending programs
- Monitor regulatory changes and recommend program updates
- Oversee underwriting standards and credit reviews
- Monitor loan portfolio health, concentrations, and repayment performance
- Lead escalation, remediation, and recovery efforts
- Ensure effective loan administration, documentation, and controls
- Partner with Finance on accounting, accruals, reserves, and write-offs
- Drive operational efficiency and scalability
- Act as a trusted advisor to leadership and field management
- Support recruiting and retention strategies
- Communicate clearly with advisors regarding loan terms and obligations
- Provide executive-level reporting on loan balances, risk, and ROI
- Deliver insights to support strategic decision-making
Requirements
- Bachelor’s degree in Finance, Business, Accounting, or related field
- 8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending
- Strong knowledge of FINRA rules and broker-dealer and investment advisor regulatory frameworks
- Experience influencing senior leaders
- FINRA Series 7, and 24 or 27 required or obtained within 90 days of hire/transfer
- Strong independent judgment and risk management capability
- Executive communication and stakeholder management skills
- High attention to detail with strategic perspective
- Ability to operate effectively in a regulated environment
Benefits
- 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
- other employee benefits
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
lending programsunderwriting standardscredit reviewsloan administrationrisk managementaudit preparationregulatory compliancefinancial reportingoperational efficiencystrategic decision-making
Soft Skills
influencing senior leadersexecutive communicationstakeholder managementindependent judgmentattention to detailstrategic perspectivetrusted advisorclear communicationleadershipproblem-solving
Certifications
Bachelor’s degreeFINRA Series 7FINRA Series 24FINRA Series 27