Compliance / Regulatory Analyst, Licensed

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

## Compliance / Regulatory Analyst, LicensedApply: WI - Appleton: Full time: Posted Today: REQ-48322This 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 TransparencyThrivent’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.