Compliance / Regulatory Analyst, Licensed

Thrivent • Appleton, WI

2d

About The Position

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.

Requirements

• Bachelor’s degree or significantly relevant and substantial work experience.
• 0-5 years of directly related experience.
• FINRA Series Registrations as follows: SIE, Series 6 and 26, required or obtained within 90 days of hire
• Strong analytical skills.
• Attention to detail and excellent follow through.
• Collaborative approach.
• Strong verbal and written communication skills.

Nice To Haves

• Strong product/industry knowledge desired.

Responsibilities

• 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.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level