Workforce Compliance & Ethics Specialist

Investigations and Workforce Concern Support 

• Serve as a point of contact for intake, referrals, and triage of questions or concerns related to workforce policies and practices. 

• Conduct prompt initial review of concerns to identify applicable policy, potential risk, required next steps, and appropriate routing or escalation. 

• Complete work related to early resolution and follow-up actions, including referring reported matters that are best addressed by leaders or another business unit. 

• Conduct assigned investigations and investigative support activities, including intakes, planning, interviews, reviewing evidence and documentation, establishing facts and findings, and preparing documentation with recommendations as applicable. 

• Partner with the Workforce Compliance and Ethics team for investigation guidance, support, and alignment on appropriate recommendations and remedial action considerations to support consistent, well-coordinated handling of workforce concerns. 

• Consult, advise, and influence leaders, Human Resources, Employment Law, Compliance, Corporate Security, and other stakeholders on investigation findings and recommendations, risk, issue resolution, remedial action, and appropriate escalation. 

• Monitor case progress and follow through on open items to help ensure timely resolution, accurate status reporting, and appropriate escalation of complex or sensitive matters. 

• Retain and enter appropriate documentation in the designated repository, ensuring tracking systems/data are accurate and complete. 

Team Enablement, Advisory, and Operational Support 

• Continuously evaluate Workforce Compliance and Ethics team owned processes to identify opportunities for improved efficiency, scalability, and effectiveness. 

• Apply established playbooks, templates, documentation, and team processes and practices to promote consistency, quality, and efficiency. Provide suggestions for continuous improvement and make updates as requested. 

• Support data collection, trend reporting, and other reporting needs related to Workforce Compliance and Ethics team. 

• Assist with policy, training, and communication efforts by helping translate themes based on data and recurring questions into practical support materials as requested and working with stakeholders to create/deliver training and communication related to policies owned by the team. 

• Support the design, development and delivery of learning initiatives and follow up on training completion related to policies owned by the team, as assigned. 

• Support general ethics work and ethics-owned programs, including responding to questions related to programs such as Conflicts of Interest and Business Gifts, assisting with policy governance activities, supporting ethics culture development and measurement efforts, and contributing to ethics award applications and related recognition efforts. 

• Assist with reductions in force by responding to employee inquiries, supporting compliance, and performing related operational tasks. 

• Provide agile, cross-functional support for other team priorities as assigned, such as policy and practice guidance, benchmarking research, advising, communication support, and special projects that help the team adapt to evolving business needs while advancing consistent, effective support across workforce compliance and ethics matters. 

• Models Thrivent’s leadership competencies – Model the Way, Rally the Team, and Deliver Outcomes. ​ 

• Supports and/or develops an environment in which employees, members, 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 and values, ensuring that Thrivent’s trust and reputation remain strong with its clients. 

Describe below the audience this role will interact with and level of influence they will have on those roles.  

• This role interacts with employees, advisors, leaders, Human Resources, Employment Law, Compliance, Corporate Security, and other partners across the enterprise to gather information, coordinate case handling, and support consistent application of Thrivent’s behavior expectations and investigation processes. 

Required: 

• Bachelor’s degree in Human Resources, employment law, business, or related field; or equivalent work experience. 

• Minimum 3+ years of employee relations, workforce investigations, ethics/compliance investigations, Human Resources, compliance, or related experience. 

• Maintain working knowledge of employment laws (e.g., Title VII, FMLA, ADA, ADEA, NLRA), and best practices. 

• Experience supporting or conducting investigations, case intake, triage, or other fact-finding work involving employment, conduct, ethics, and/or behavioral policy-related matters. 

• Strong interviewing, listening, documentation, organization, prioritization, and follow-through skills, with the ability to manage multiple matters with attention to detail. 

• Ability to assess issues, apply policies and process guidance, and refer or escalate matters appropriately based on risk, sensitivity, or complexity. 

• Excellent written and verbal communication skills, including the ability to prepare clear case documentation and communicate effectively with workforce members and stakeholders. 

• Strong relationship management skills, including the ability to build trust and rapport quickly, with the ability to maintain confidentiality, professionalism, and sound judgment. 

• Strong business acumen, analytical and critical thinking skills, including the ability to gather facts, identify relevant issues, and support accurate, consistent case handling. 

• Demonstrated knowledge of employment-related laws, regulations, policies, and investigation practices relevant to workforce concerns, or the ability to quickly build that knowledge. 

• Ability to use case management tools, documentation systems, and standard office technology (e.g., AI) effectively. 

• Demonstrated ability to protect sensitive information and model accountability and integrity. 

Preferred:   

• Prior experience in financial services.