About this role
Role Overview
- Analyzing and applying complex regulatory and compliance requirements to Thrivent’s business practices
- Ensuring appropriate regulatory processes and controls are established and are working effectively
- Interpreting detailed and often complex regulatory requirements
- Providing polished and clear consult and advice in a manner that helps business partners understand and mitigate risk
- Handling complex work and leading in producing documentation to support regulatory investigations or audits
- Gathering and synthesizing information from multiple sources
- Conducting research using regulatory websites, legal research tools, or using industry resources
- Clearly communicating findings to business partners, representatives, and management
- Partnering with key stakeholders in a collaborative manner
- Identifying and taking action to correct compliance deficiencies
- Providing compliance/regulatory consult on complex compliance matters
- Performing testing and monitoring functions
- Representing the interests of unit on cross-organizational initiatives and leading in-unit projects
- Supporting and/or developing an environment focused on continuous improvement and exceptional employee engagement
Requirements
- 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
- FINRA Series 7, 24, 63/65, or 66 (in lieu of 63/65) required or obtained within 90 days of hire/transfer
Benefits
- 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
- other employee benefits