Riley Faehling

Supervision Analyst @Thrivent

Collaborate and build relationships with many teams and leaders to effectively detect risk and supervise field registered representative activities -Conduct reviews and analysis of registered representative activities to identify risks and trends. Exercising good judgement and applying compliance/policy knowledge to draw conclusions, recommend appropriate actions, and escalating to the appropriate persons as applicable -Utilize multiple systems including PowerBI, Microsoft Excel, and Salesforce to aggregate and analyze data -Conduct supervisory activities including review, monitoring, and approval of: OBAs, private security transactions, gift logs, supervisory exceptions, staff compensation, annual compliance requirements, branch exam findings, continuing education completion, blotter adherence, and brokerage managed fee trending -Communicate with registered representatives and supervision colleagues to gather information needed to make decisions, and provide feedback and education to registered representatives -Gather and synthesize information in a meaningful manner -Balance competing demands under strict time constraints -Mentor and train new hires on various tasks and reports, and perform review of work and coaching when appropriate Notable Project-Lead a major initiative to update the Brokerage Managed Account Annual Review process, affecting more than 1200 financial professionals -Worked with numerous departments including the legal team, various directors, top Thrivent advisors, and subject matter experts, to craft a new way of completing and meeting this FINRA requirement -Worked with Thrivent’s web developers to craft the new form and integrate it into Thrivent’s current data collection systems and website -Trained 15+ internal teams and all of Thrivent’s brokerage financial representatives on the new procedure -The new process has drastically increased the quality of the annual review documentation process and adherence to the FINRA policy