Compliance, Regulatory Analyst

This is a fully remote position, open to applicants in Minnesota.

📋 Description

• Evaluate regulatory and compliance obligations and integrate them into Thrivent's business operations.

• Clarify regulatory requirements for essential internal stakeholders.

• Offer guidance and insights concerning regulatory obligations and associated risks.

• Manage routine compliance tasks.

• Assist with regulatory investigations and audits.

• Keep TIMI regulatory disclosures updated, along with their distribution and mailing.

• Organize responses to regulatory examinations, third-party audits, and compliance evaluations.

• Conduct testing and monitoring, which includes managed account testing, reviewing statements/confirmations/trade tickets, and fee reconciliation.

• Collect and meaningfully synthesize information.

• Perform limited research utilizing regulatory websites, legal research tools, and industry references.

• Apply expertise to business practices, communications, or processes and suggest suitable actions.

• Relay findings, rationale, and subsequent steps to business partners and representatives.

• Collaborate effectively with key stakeholders.

• Detect and rectify compliance and regulatory shortcomings.

• Provide regular compliance and regulatory advice.

⛳️ Requirements

• Bachelor's degree or substantial and relevant work experience.

• 0-5 years of direct experience in the field.

• FINRA Series 7, 65 or 66, and 24 required or to be obtained within 90 days of hire or transfer.

• Desired strong knowledge of products and the industry.

• Excellent analytical abilities.

• High attention to detail and strong follow-through.

• Collaborative mindset.

• Exceptional verbal and written communication skills.

🏝️ Benefits

• Various bonuses, including annual or long-term incentives.

• Medical, dental, and vision insurance.

• Health savings account.

• Flexible spending account.

• 401k plan.

• Pension plan.

• Life and accidental death and dismemberment insurance.

• Disability insurance.

• Supplemental protection insurance.

• 20 days of Paid Time Off annually.

• Sick and Safe Time.

• 10 paid company holidays.

• Volunteer Time Off.

• Paid parental leave.

• Employee Assistance Program (EAP).

• Well-being benefits.

• Additional employee benefits.