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Sr Compliance / Regulatory Analyst LIC

    • Remote (United States)
  • General Counsel's Office
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Description

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  human.resources@thrivent.com  or call 800-847-4836 and request Human Resources.

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Sr Compliance / Regulatory Analyst LIC

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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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