Principal

Thrivent; United States; Remote; USD 64,000 - 86,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Health savings account (HSA)

401k with company match

Pension plan

Paid time off

Job summary

Thrivent is seeking a Compliance/Risk Analyst to review insurance, securities, and investment advisory activities for regulatory alignment and member-owner protection. You will make risk-based decisions in line with SOPs and escalate complex issues to leadership as needed.

Ideal candidates possess a college degree, 0–1 year in financial services, and knowledge of FINRA/SEC/IA/MSRB rules. Strong teamwork, critical thinking, and adaptability are essential to drive continuous improvement and

Qualifications

• College degree or equivalent work experience.
• 0-1 year working in the financial services industry.
• Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply asrequired.
• Demonstrated critical thinking, personal accountability, and confidence in decision-making.
• Ability to collaborate effectively within a team environment.
• Resilience and adaptability in addressing routine challenges and changes.
• Solid understanding of financial services industry products (including life and annuities, mutual funds,529s, equity, fixed income, margin, advisory and related product lines).
• FINRA Series 7, 24 or 9/10, 63/65 or 66requiredor obtained within90 daysof hire/transfer.FINRA Series 4, 51, 52, or 53 may also be requiredas directed by the manager and is dependent upon specific job responsibilities.

Responsibilities

• Reviews and monitors the firm's insurance, securities, and/or investment advisory activities to ensure compliance with policies and regulations, and to protect Thrivent Financial member-owners' interests.
• Make risk-based decisions in line with standard operating procedures, escalating complex or high-risk issues to management as appropriate.
• Model Thrivent’s core values and leadership behaviors in daily activities.
• Collaborate with team members and business partners to achieve compliance and operational goals.
• Participate in initiatives that enhance risk management, client services, and operational efficiency and excellence.
• Support a culture of continuous improvement and accountability.

Skills

Financial regulations knowledge

Decision making

Team collaboration

Critical thinking

Resilience and adaptability

Financial products knowledge

FINRA Rules (Series 7/24 etc.)

Process improvement

Regulatory environment familiarity

Thrivent values familiarity

Client-focused solutions

Trade review experience

Education

College degree or equivalent work experience

Job description

DUTIES & RESPONSIBILITIES:

• Reviews andmonitorsthe firm's insurance, securities, and/or investment advisory activities to ensure compliance with policies and regulations, and to protect Thrivent Financial member-owners' interests.
• Make risk-based decisions in line with standard operating procedures, escalating complex or high-risk issues to management asappropriate.
• Model Thrivent’s core values and leadership behaviors in daily activities.
• Collaborate with team members and business partners to achieve compliance and operational goals.
• Participate in initiatives that enhance risk management, client services, and operational efficiency and excellence.
• Support a culture of continuous improvement and accountability.

Describebelowthe audiencethis role will interact withand level of influencethey willhave on those roles.

• Managers, individual contributors, field employees, vendors, contractorsand consultants.

QUALIFICATIONS & SKILLS:

Required:

• College degree or equivalent work experience
• 0-1 year working in the financial services industry
• Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply asrequired.
• Demonstrated critical thinking, personal accountability, and confidence in decision-making.
• Ability to collaborate effectively within a team environment.
• Resilience and adaptability in addressing routine challenges and changes.
• Solid understanding of financial services industry products (including life and annuities, mutual funds,529s, equity, fixed income, margin, advisory and related product lines)
• FINRA Series 7, 24 or 9/10, 63/65 or 66requiredor obtained within90 daysof hire/transfer.FINRA Series 4, 51, 52, or 53 may also be requiredas directed by the manager and is dependent upon specific job responsibilities.

Preferred:

• Experienceparticipatingin process improvement or operational efficiency projects.
• Exposure tocompliance or regulatory environments in financial services.
• Familiarity with Thrivent’s core values and leadership behaviors.
• Initiative in supporting client-focused solutions.
• Prior experience reviewing correspondence and trade review.

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 $63,741.00 - $86,238.00 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 call800-847-4836and request Human Resources.

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