Compliance / Regulatory Analyst, Licensed

Thrivent; Appleton (WI); On-site; USD 64,000 - 86,000; Full time

Job summary

Thrivent is seeking a regulatory compliance professional to analyze requirements and apply them to Thrivent's back-office and field operations. You will interpret regulatory rules for internal stakeholders, provide consultative guidance, and support audits or investigations as needed.

The role emphasizes analytic rigor, collaboration with business partners, and the ability to translate complex regulations into actionable steps.

Qualifications

• Bachelor’s degree or significantly relevant and substantial work experience.
• 0-5 years of directly related experience.
• Strong product/industry knowledge desired.
• 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 or industry resources.
• Applies knowledge to business practices to draw conclusions and recommend action.
• Communicates findings clearly to business partners and stakeholders.
• Partners with key stakeholders in a collaborative manner.
• Identifies and corrects compliance/regulatory deficiencies.
• Provides compliance/regulatory consult on routine items.
• Performs testing and monitoring functions.

Skills

Regulatory knowledge

Analytical skills

Attention to detail

Verbal and written communication

Education

Bachelor’s degree or substantial work experience

Tools

FINRA Series registrations (SIE, Series 6, Series 26)

Job description

This position is responsible for analyzing regulatory and compliance requirements and for the application of such requirements to Thrivent business practices (including back office/operational processing functions and/or field-facing/sales-oriented functions). The position interprets regulatory requirements in a manner understood by key internal stakeholders and provides consult and advice regarding regulatory requirements while helping business partners understand risk. This position handles routine compliance work and provides support to others during regulatory investigations or audits.

Job Duties And Responsibilities

• Gathers and synthesizes information in meaningful manner.
• Conducts limited 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 and/or representatives in manner that helps stakeholders understand the rationale and related next steps.
• Partners with key stakeholders in a collaborative manner.
• Identifies and takes action to correct compliance / regulatory deficiencies.
• Provides compliance / regulatory consult on items of a routine nature.
• Performs testing and monitoring functions.

Required Job Qualifications

• Bachelor’s degree or significantly relevant and substantial work experience.
• 0-5 years of directly related experience.
• Strong product/industry knowledge desired.
• FINRA Series Registrations as follows:
• SIE, Series 6 and 26, required or obtained within 90 days of hire

Other Critical Factors

• Strong analytical skills.
• Attention to detail and excellent follow through.
• Collaborative approach.
• Strong verbal and written communication skills.

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 $63,886.00 - $86,434.00 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 [e-mail] or call 800-847-4836 and request Human Resources.