Thrivent Financial Sr Compliance / Regulatory Analyst LIC in Minneapolis, Minnesota
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.
- This position can sit remote in the United States
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 – Model the Way, Rally the Team, and Deliver Outcomes.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused on driving impact, growing sales, and delivering value to our clients and Thrivent. Shapes and/or supports a culture that represents the Thrivent purpose and values, ensuring that Thrivent’s trust and reputation remain strong with its clients.
Required Job Qualifications
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.
For Retail BD & IA Compliance Unit: 7, 24, 53, 63/65, or 66 (in lieu of 63/65) required or obtained within 90 days of hire/transfer.
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 firstname.lastname@example.org or call 800-847-4836 and request Human Resources.
At Thrivent, we believe money is a tool, not a goal. Driven by a higher purpose at our core, we are committed to providing financial advice, investments, insurance, banking and generosity programs to help people make the most of all they’ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our customers. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want today—and tomorrow.
For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, it’s a Fortune 500 company that offers a full range of expert financial solutions, serving more than 2 million customers, as well as the communities in which they live and work.
Thrivent fosters a diverse workforce to serve our diverse clientele, reflecting a wide range of backgrounds and experiences. If you’re intrigued about our work and the possibility of becoming part of it, we invite you to visit Thrivent.com to learn more. You won’t just build a career; you’ll be part of an organization focused on growing, innovating, and serving.