Sr Compliance/Regulatory Analyst LIC

at  Thrivent

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.
The position’s primarily focus is on the advertising compliance aspects of the Thrivent Advisor Network (TAN), a registered investment advisor, and its advisory persons (many of whom are registered with Thrivent’s broker-dealer). Candidates must have an understanding of the Investment Advisers Act of 1940 or fiduciary concepts in general, as well as experience working in both the retail broker-dealer and registered investment advisory (RIA) space and with seasoned Investment Advisor Representatives.

REQUIRED JOB QUALIFICATIONS

• Bachelor’s degree or significantly relevant and substantial work experience.
• 3-10 years of directly related experience in both broker-dealer and RIA advertising compliance
• In-depth knowledge of applicable laws and regulations, regulatory requirements, and industry best practices.
• For Field Supervision (Enterprise Supervision): FINRA Series 7, 63/65 or 66, and 24 licenses required or obtained within 90 days of hire/transfer
  Pay Transparency
  Thrivent’s long-term growth depends on attracting, rewarding, and retaining people who are committed to helping others thrive with purpose. We accomplish this by offering a wide variety of market competitive compensation programs to attract, reward, and retain top talent. The applicable salary or hourly wage range for this full-time role is $77,988.00 - $105,514.00 per year, which factors in various geographic regions. The base pay actually offered will be determined by a variety of factors including, but not limited to, location, relevant experience, skills, and knowledge, business needs, market demand, and other factors Thrivent deems important.
  Thrivent is unique in our commitment to helping people to be wise with money and live balanced and generous lives. That extends to our benefits.
  The following benefits may be offered: various bonuses (including, for example, annual or long-term incentives); medical, dental, and vision insurance; health savings account; flexible spending account; 401k; pension; life and accidental death and dismemberment insurance; disability insurance; supplemental protection insurance; 20 days of Paid Time Off each year; Sick and Safe Time; 10 paid company holidays; Volunteer Time Off; paid parental leave; EAP; well-being benefits, and other employee benefits. Eligibility for receipt of these benefits is subject to the applicable plan/policy documents. Thrivent’s plans/policies are subject to change at any time at Thrivent’s discretion.
  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

• 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.
• Conducts principal review of marketing and advertising materials, including but not limited to print, digital, web, social media, video, audio, email, etc., as well as certain training and internal materials and programs, as needed.
• 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.