The Leader, Investment Advisory Operations is responsible for leading and overseeing the operational functions of the firm’s investment advisory service offerings. This strategic leadership role ensures that all advisory operations—including client onboarding, account maintenance, trading, reporting, fee-based financial plans, billing, compliance, and advisor support—are executed efficiently, accurately, and in alignment with regulatory standards and the firm’s growth objectives. The ideal candidate brings a deep understanding of advisory operations, a strong compliance mindset, and the leadership skills to build and manage a high-performing team. This role plays a key part in shaping operational strategy and maintaining a culture of accountability, service, and continuous improvement.

         

          

DUTIES & RESPONSIBILITIES:  

Leadership & Strategy 

Develop and implement operational strategies that support business growth and exceptional client service. 

Partner with executive leadership to streamline workflows, scale services, and support strategic initiatives. 

 

Operational Leadership 

 Oversee daily investment advisory operations, including new account processing, custodial relationships, portfolio administration, trading execution, fee-based financial plans, reconciliation, billing, and reporting. 

Monitor and improve processes for client onboarding, maintenance, and transitions. 

Design and maintain scalable workflows that promote accuracy, efficiency, and compliance. 

Partner with other operational leaders to deliver best in class client and advisor experiences 

 

Technology & Systems Oversight 

Partner with our technical teams on the selection, implementation, and management of investment platforms, CRM systems, performance reporting tools, and portfolio management systems. 

Identify and aide in the implementation of process automation and digital solutions to increase operational efficiency. 

 

Team Management 

Recruit, develop, and sustain a high-performing team while promoting and fostering a culture of shared accountability, risk awareness, proactive problem-solving, engagement, client-centricity, operational excellence (including client and advisor experiences), innovation, continuous improvement and partnership and collaboration across the team.  

Collaborate closely with advisors, compliance, and client service teams to ensure smooth operations and client satisfaction. 

The leader will model Thrivent’s leadership competencies.   

 

Compliance & Risk Management 

Ensure all operations comply with SEC, FINRA, and other applicable regulatory requirements 

Develop and maintain policies and procedures to manage risk and operational integrity. 
 

Advisor and Client Support 

Partner with Compliance, Finance, and Product team to resolve escalated issues and improve the advisor onboarding and servicing experience. 

Ensure phone, chat, and processing service levels are maintained on a consistent basis 

Support transitions of new advisors and firms joining the Investment Advisor. 
 

Reporting & Analysis 

Establish and monitor key performance indicators (KPIs) for operational success and report to executive leadership. 

Deliver regular reports to leadership on operational efficiency, service levels, and key initiatives. 

Analyze workflow trends and quality reporting and develop/implement recommendations for continuous improvement. 

 

Describe below the audience this role will interact with and level of influence they will have on those roles.   

 

This leader will lead key areas of the operational organization and play a critical role in shaping day-to-day execution and long-term operational strategy. The role supports growth and efficiency in a fast-paced, evolving environment, with broad visibility across the firm. The leader will collaborate closely with teams across Operations, Distribution, and Compliance, and will influence internal stakeholders at all levels through strong execution, cross-functional partnership, and leadership presence. 

 

QUALIFICATIONS & SKILLS:   

Required:

Bachelor’s degree in Finance, Business, or related field. 

10+ years of experience in investment advisory operations or wealth management, including at least 5 years in a leadership role. 

FINRA Series 65 & 24 licensure or equivalent required (or will obtain within 90 days).   

Deep understanding of RIA operations, investment platforms (e.g., Orion, Black Diamond, Envestnet), custodians (e.g., Schwab, Fidelity, Pershing), and trading systems. 

Strong knowledge of regulatory environment affecting RIAs (SEC/FINRA). 

Proven track record in managing teams, regulatory audits, and operational change initiatives. 

Exceptional problem-solving, communication, organizational, interpersonal, and influencing skills. Ability to build trusted relationships with senior business leaders and employees across all levels of the Operations organization. 

Demonstrated ability to lead end-to-end process improvement and take intelligent risks to manage expenses and drive continuous improvement. 

Experience leading through change as a collaborative leader, adept in challenging the status quo while maintaining effective partnerships with key stakeholders. 

Strategic thinker with strong conceptual ability, with demonstrated ability to improve systems and processes and deliver results. 

Demonstrated ability to maintain an external perspective of emerging management and operations trends and identity actions to improve operational stability and mitigate risk. 

Strong analytical capabilities, with experience using data to drive recommendations and decision making (qualitative analyses, financial modelling, competitor/industry research, etc.). 

Excellent coaching and people leadership skills. 

 

Preferred:   

FINRA Series 7, 24, 66. 

              

Pay Transparency

 

Thrivent’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 $150,735.00 - $203,936.00 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.