Sr Compl / Reg Analyst LIC

Thrivent•Minneapolis, MN

About The Position

This position is responsible for analyzing and applying complex regulatory and compliance requirements to Thrivent’s business practices and for ensuring appropriate regulatory processes and controls are established and are working effectively. The position interprets detailed and often complex regulatory requirements, necessitating practical and conceptual subject matter expertise. Provides polished and clear consult and advice in a manner that helps business partners understand and mitigate risk. This position handles complex work and takes a lead in producing documentation to support regulatory investigations or audits. Job Duties and Responsibilities Gathers and synthesizes information from multiple sources in a meaningful manner. Conducts 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, representatives, and management, in manner that helps stakeholders understand the regulatory requirements and related risk. Partners with key stakeholders in a collaborative manner. Identifies and takes action to correct compliance deficiencies. Provides compliance/regulatory consult on complex compliance matters. Performs testing and monitoring functions. Represents the interests of unit on cross-organizational initiatives and leads in-unit projects; Leads/supports key regulatory/compliance initiatives within the unit, division and corporate projects Regularly interacts with regulators/auditors. Develops, maintains, and implements policies and procedures. Models Thrivent’s leadership competencies – courage, collaboration, and commitment by demonstrating resiliency, working together to make the best decisions, and holding yourself and others accountable. Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement, exceptional employee engagement, and an unwavering commitment to our clients. Shapes and/or supports a culture that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.

Requirements

Bachelor’s degree or significantly relevant and substantial work experience.
3-10 years of directly related experience.
In-depth knowledge of applicable laws and regulations, regulatory requirements, and industry best practices.
FINRA Series 7, 24, 63/65, or 66 (in lieu of 63/65) required or obtained within 90 days of hire/transfer.

Responsibilities

Gathers and synthesizes information from multiple sources in a meaningful manner.
Conducts 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, representatives, and management, in manner that helps stakeholders understand the regulatory requirements and related risk.
Partners with key stakeholders in a collaborative manner.
Identifies and takes action to correct compliance deficiencies.
Provides compliance/regulatory consult on complex compliance matters.
Performs testing and monitoring functions.
Represents the interests of unit on cross-organizational initiatives and leads in-unit projects
Leads/supports key regulatory/compliance initiatives within the unit, division and corporate projects
Regularly interacts with regulators/auditors.
Develops, maintains, and implements policies and procedures.
Models Thrivent’s leadership competencies – courage, collaboration, and commitment by demonstrating resiliency, working together to make the best decisions, and holding yourself and others accountable.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement, exceptional employee engagement, and an unwavering commitment to our clients.
Shapes and/or supports a culture that represents the Thrivent purpose, promise and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.