Compliance/Regulatory Analyst

      

This position is responsible for analyzing regulatory and compliance requirements and for the application of such requirements to Thrivent business practices (including back office/operational processing functions and/or field-facing/sales-oriented functions). The position interprets regulatory requirements in a manner understood by key internal stakeholders and provides consult and advice regarding regulatory requirements while helping business partners understand risk. This position handles routine compliance work and provides support to others during regulatory investigations or audits.

This can be a remote position within the US.

         

          

Job Duties and Responsibilities

• Maintenance and update of TIMI regulatory disclosures, delivery, and mailings.
• Coordinate responses to regulatory exams, third party audits, and compliance assessments.
• Testing and monitoring functions including managed account testing, statement/confirm/trade ticket review, fee conciliation.
• Gathers and synthesizes information in meaningful manner.
• Conducts limited research using regulatory websites, legal research tools, or using industry resources.
• Applies knowledge to business practice, communications or procedures to draw conclusions and to recommend appropriate action.
• Clearly and succinctly communicates findings to business partners and/or representatives in manner that helps stakeholders understand the rationale and related next steps. 
• Partners with key stakeholders in a collaborative manner.
• Identifies and takes action to correct compliance / regulatory deficiencies.
• Provides compliance / regulatory consult on items of a routine nature. 
• Performs testing and monitoring functions.

Required Job Qualifications

• Bachelor’s degree or significantly relevant and substantial work experience.   
• 0-5 years of directly related experience.
• Strong product/industry knowledge desired.
• FINRA Series Registrations as follows:
  • Series 7, 65 or 66, and 24 required or obtained within 90 days of hire/transfer

Other Critical Factors

• Strong analytical skills.
• Attention to detail and excellent follow through. 
• Collaborative approach.
• Strong verbal and written communication skills. 

              

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 $63,886.00 - $86,434.00 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 [email protected] or call 800-847-4836 and request Human Resources.

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