Remote Compliance Analyst - Financial Services

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

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