Compliance Analyst – Regulatory Research & Risk Advisory

Thrivent Financial; Appleton, Northern (WI, KY); Hybrid; USD 64,000 - 86,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k

Paid Time Off

Job summary

Thrivent Financial in Appleton, WI seeks a Compliance / Regulatory Analyst, Licensed to analyze regulatory requirements and apply them to Thrivent business practices across back office, operations, and field sales.

You will interpret regulations for stakeholders, provide consult, conduct routine compliance work, and support audits or investigations, collaborating with partners to manage risk and ensure regulatory alignment.

Qualifications

• Bachelor’s degree or significantly relevant and substantial work experience.
• 0-5 years of directly related experience.
• FINRA Series registrations: SIE, Series 6 and 26, required or obtained within 90 days of hire.

Responsibilities

• Gathers and synthesizes information in meaningful manner.
• Conducts limited research using regulatory websites, legal research tools, or industry resources.
• Applies knowledge to business practice to draw conclusions and recommend action.
• Communicates findings clearly to business partners and stakeholders.
• Partners with key stakeholders in a collaborative manner.
• Identifies and takes action to correct compliance/regulatory deficiencies.
• Provides compliance/regulatory consult on routine items.
• Performs testing and monitoring functions.

Skills

Analytical skills

Attention to detail

Communication skills

Collaborative approach

Education

Bachelor's degree

FINRA registrations: SIE, Series 6, Series 26

Job description

Thrivent Financial in Appleton, WI seeks a Compliance / Regulatory Analyst, Licensed to analyze regulatory requirements and apply them to Thrivent business practices across back office, operations, and field sales.

You will interpret regulations for stakeholders, provide consult, conduct routine compliance work, and support audits or investigations, collaborating with partners to manage risk and ensure regulatory alignment.