Senior Compliance / Regulatory Analyst
Thrivent
full-time
Posted on:
Location Type: Office
Location: Minneapolis • Minnesota • United States
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Salary
💰 $81,537 - $110,315 per year
Job Level
About the role
- 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
- Provides polished and clear consult and advice to help business partners understand and mitigate risk
- Handling complex work and takes lead in producing documentation to support regulatory investigations or audits
- Gathering and synthesizing information from multiple sources
- Conducting research using regulatory websites and legal research tools
- Communicating findings to business partners and management clearly and succinctly
- Identifying and taking action to correct compliance deficiencies
- Performing testing and monitoring functions
- Representing the interests of unit on cross-organizational initiatives
- Developing, maintaining, and implementing policies and procedures
- Modelling Thrivent’s leadership competencies and supporting an environment for continuous improvement
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
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Applicant Tracking System Keywords
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Hard Skills & Tools
regulatory analysiscompliance requirementsrisk mitigationdocumentation productionregulatory investigationstesting functionsmonitoring functionspolicy developmentprocedures implementation
Soft Skills
communicationconsultingleadershipproblem-solvinginformation synthesiscross-organizational collaborationcontinuous improvement
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66