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Manager, Compliance LIC - Multicultural Experience

    • Remote (United States)
  • Executive
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The Compliance Manager has responsibility for management of the Compliance Program as it relates to the multicultural strategy and goals. The goal is to: Enable non-native English audiences to experience all that Thrivent has to offer (i.e. products, services, experiences). This may include: Developing, implementing or enhancing compliance tools used to monitor sales practices and business processes, where applicable in the program or role; Ensuring compliance with all applicable regulatory rules and regulations, disclosures, training, and program requirements, where applicable in the program or role; Monitoring and evaluating processes to improve efficiency; Mitigate risk and implement best practices consistent with industry standards; where applicable for program and role, coordinating investigations, incidents and response plans; keeping applicable Compliance Officer apprised of significant compliance events or incidents.

Job Duties and Responsibilities

  • Where applicable to role and program, responsible for creation, implementation and alignment of oversight compliance program and/or surveillance program for Thrivent and its applicable affiliates with business strategies, operations and processes.

  • Guide multicultural strategy to ensure available translated materials showcase a fair and balanced representation of Thrivent's products and services.

  • Work closely with all departments to ensure the multicultural strategy works effectively for all aspects of the company. 
  • Review translated materials for accuracy and validate they accurately represent the original English content.
  • Conducts in-depth analysis and research of complex compliance related issues and has decision making authority to implement necessary resolutions.

  • Where applicable to role and program responsible for implementing the annual internal audit and compliance review and/or RFO/OSJ Compliance inspections

  • Coordinates due diligence, applicable disclosures, and incident management with appropriate areas of the organization.

  • Develops and delivers certain Compliance training to home office and field staff

  • Responds to questions, assists with internal and external audit requests,  and provides support and education and training to home office and field staff on Compliance related matters, where applicable for entity and role.

  • Interprets and applies regulatory/Compliance requirements related to this function

  • Implements and enhances employee, third party, and independent contractor compliance with Federal, state laws and regulations, along with Thrivent internal policies and due diligence processes.

  • Consults and works closely with other business and compliance teams to carry out requirements of program and to assist with enterprise-wide initiatives.  Where applicable for program and role, coordinate with Compliance Investigations, Retail Investment Advisor, Member Relations, Compliance Training, Human Resources, Code of Conduct, Privacy, Ant-Money Laundering, and Identity Theft/Fraud offices, Safety & Security, Information Security, and Insurance teams

Required Job Qualifications

  • Bachelor’s Degree in business or related field

  • FINRA Series 7 and 24 licenses, 53, 63, 65 or 66 or ability to acquire within 90 days.

  • Fluent in Spanish

  • Where applicable for role and program, Insurance, Broker-Dealer, Mutual Funds, Variable Products, Privacy, Anti-Money Laundering, Identity Theft, Fraud, and Registered Investment Advisers background and understanding of the financial services and securities regulatory requirements.

  • Previous regulatory and/or compliance experience

  • Where applicable to role and program, significant (5 plus years) Industry experience related to financial services, insurance, securities and/or investment management.

  • Where applicable to role and program, demonstrated experiences with trend analysis, incident management, tool implementation, training, and surveillance creation and implementation.

Other Critical Factors

  • Foster Open Communication: strong interpersonal skills, negotiation, and oral and written communication skills

  • Use Sound Judgement: creative problem solving skills, attention to detail and excellent follow-up skills

  • Project management, time management, leadership, and the ability to influence others without direct authority

  • High level of integrity and ethics

  • Analytical skills

  • Customer service orientation.

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  or call 800-847-4836 and request Human Resources.


Manager, Compliance LIC - Multicultural Experience


Our DEI Perspective

At Thrivent, we know our organization is strengthened when we have a diverse team that reflects our clients and builds on the diverse perspectives of others.

We believe that humanity thrives when people make the most of all they've been given, which includes our history, heritage, individual and collective experiences. Take a moment to pause with us, reflect on where Thrivent is at in our DEI journey and look forward to the future in anticipation of great things to come.

Read our Diversity, Equity & Inclusion Report

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