Sr Compl Reg Analyst LIC

Minneapolis, MN - USA

Yearly Salary: $ 81537 - 110315

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

This position is responsible for analyzing and applying complex regulatory and compliance requirements to Thrivents business practices and for ensuring appropriate regulatory processes and controls are established and are working effectively. The position interprets detailed and often complex regulatory requirements necessitating practical and conceptual subject matter expertise. Provides polished and clear consult and advice in a manner that helps business partners understand and mitigate risk. This position handles complex work and takes a lead in producing documentation to support regulatory investigations or audits.

Job Duties and Responsibilities

Gathers and synthesizes information from multiple sources in a meaningful manner.
Conducts 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 representatives and management in manner that helps stakeholders understand the regulatory requirements and related risk.
Partners with key stakeholders in a collaborative manner.
Identifies and takes action to correct compliance deficiencies.
Provides compliance/regulatory consult on complex compliance matters.
Performs testing and monitoring functions.
Represents the interests of unit on cross-organizational initiatives and leads in-unit projects; Leads/supports key regulatory/compliance initiatives within the unit division and corporate projects
Regularly interacts with regulators/auditors.
Develops maintains and implements policies and procedures.
Models Thrivents leadership competencies courage collaboration and commitment by demonstrating resiliency working together to make the best decisions and holding yourself and others accountable.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement exceptional employee engagement and an unwavering commitment to our clients. Shapes and/or supports a culture that represents the Thrivent purpose promise and values ensuring that Thrivents trust and reputation remain strong with its clients.

Required Job Qualifications

Bachelors degree or significantly relevant and substantial work experience.
3-10 years of directly related experience.
In-depth knowledge of applicable laws and regulations regulatory requirements and industry best practices.
FINRA Series 7 24 63/65 or 66 (in lieu of 63/65) required or obtained within 90 days of hire/transfer.

Pay Transparency

Thrivents 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 $81537.00 - $110315.00 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. Thrivents plans/policies are subject to change at any time at Thrivents 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 toor calland request Human Resources.

Required Experience:

Senior IC

Job Duties and Responsibilities

Gathers and synthesizes information from multiple sources in a meaningful manner.
Conducts 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 representatives and management in manner that helps stakeholders understand the regulatory requirements and related risk.
Partners with key stakeholders in a collaborative manner.
Identifies and takes action to correct compliance deficiencies.
Provides compliance/regulatory consult on complex compliance matters.
Performs testing and monitoring functions.
Represents the interests of unit on cross-organizational initiatives and leads in-unit projects; Leads/supports key regulatory/compliance initiatives within the unit division and corporate projects
Regularly interacts with regulators/auditors.
Develops maintains and implements policies and procedures.
Models Thrivents leadership competencies courage collaboration and commitment by demonstrating resiliency working together to make the best decisions and holding yourself and others accountable.
Supports and/or develops an environment in which Thrivent employees and colleagues are focused on continuous improvement exceptional employee engagement and an unwavering commitment to our clients. Shapes and/or supports a culture that represents the Thrivent purpose promise and values ensuring that Thrivents trust and reputation remain strong with its clients.

Required Job Qualifications

Bachelors degree or significantly relevant and substantial work experience.
3-10 years of directly related experience.
In-depth knowledge of applicable laws and regulations regulatory requirements and industry best practices.
FINRA Series 7 24 63/65 or 66 (in lieu of 63/65) required or obtained within 90 days of hire/transfer.

Pay Transparency

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.