Advanced Portfolio Compliance Analyst
Advanced Portfolio Compliance Analyst
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$ 69053 - 93425
1 Vacancy
Job Description
We exist to help people achieve financial clarity. At Thrivent we believe money is a tool not a goal. Driven by a higher purpose at our core we are committed to providing financial advice investments insurance banking and generosity programs to help people make the most of all theyve been given.
At our core we are a membership-owned fraternal organization as well as a holistic financial services organization dedicated to serving the unique needs of our clients. We focus on their goals and priorities guiding them toward financial choices that will help them live the life they want todayand tomorrow.
Job Summary
This position is responsible for providing portfolio compliance oversight for Thrivents General Account mutual funds and other investment accounts. Portfolio Compliance oversight includes ensuring that all aspects of Investments are in compliance with associated regulation (e.g. SEC IA/IC - Investment Advisor & Investment Company Acts MN NY & WI state insurance commissions etc.) and adhere to the portfolio mandates as outlined in the prospectus documents (Mutual Funds Series Portfolios & ETFs) and General Account (Insurance Accounts Retirement Plan & Foundation). Compliance Reporting includes routine and ad hoc reporting to various audiences including Investment division committees and the Mutual Fund Board of Directors. The position interfaces with Investment Operations staff Portfolio Managers Traders and other senior leaders in the Investment division. The incumbent reports to the Director Portfolio Compliance.
Job Responsibilities and Duties
- Maintain and administer the order management system (BlackRock Aladdin) which includes monitoring pre-trade and post-trade compliance to ensure compliance with regulations investment policies and procedures.
- Assist in administering the Liquidity Risk Management and Derivative Risk Management programs.
- Prepare and support internal governance committees and Mutual Fund Board meetings.
- Prepare various compliance requests from internal audits external auditors and regulators.
Job Qualifications
- Bachelors degree in finance accounting or related field.
- 3 years of related industry experience; general securities/investment knowledge.
- Basic experience with investment management-related compliance/audit methodologies and regulatory. issues associated with the SEC IA/IC and State Insurance Commission.
- Familiarity with multiple asset classes including equities bonds private equity private debt mortgages and derivatives.
- BlackRock (Aladdin) knowledge preferred.
Other Critical Factors
- Success in this role is dependent on effective interaction with Portfolio Managers Traders and Analysts as well as in other areas of the organization.
Additional Information
- This position requires you to work on-site in Minneapolis MN a minimum of 3 days a week.
Pay Transparency
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 toor calland request Human Resources.
Required Experience:
IC
Employment Type
Full-Time
