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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance and risk management, with strong analytical skills and attention to detail. Effectively communicates findings and collaborates with stakeholders to ensure adherence to regulatory requirements.
Highest-signal resume keywords
Regulatory Compliance AnalysisFINRA Series 7, 65, 66, 24Analytical SkillsAttention to DetailVerbal and Written Communication
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory Requirements InterpretationCompliance ConsultationTesting and MonitoringRegulatory Investigations SupportRisk Assessment
Soft Skills
Collaborative ApproachExcellent Follow Through
Tools & Technologies
Legal Research ToolsRegulatory Websites
Certifications & Qualifications
FINRA Series 7FINRA Series 65FINRA Series 66FINRA Series 24
Industry Keywords
Compliance AssessmentsRegulatory AuditsManaged Account TestingRegulatory DisclosuresProduct/Industry Knowledge
About the role
Key responsibilities & impact- Analyze regulatory and compliance requirements and apply them to Thrivent business practices
- Interpret regulatory requirements for key internal stakeholders
- Provide consultation and advice regarding regulatory requirements and risk
- Handle routine compliance work
- Support regulatory investigations and audits
- Maintain and update TIMI regulatory disclosures, delivery, and mailings
- Coordinate responses to regulatory exams, third-party audits, and compliance assessments
- Perform testing and monitoring, including managed account testing, statement/confirm/trade ticket review, and fee conciliation
- Gather and synthesize information meaningfully
- Conduct limited research using regulatory websites, legal research tools, and industry resources
- Apply knowledge to business practices, communications, or procedures and recommend appropriate action
- Communicate findings, rationale, and next steps to business partners and representatives
- Partner collaboratively with key stakeholders
- Identify and correct compliance and regulatory deficiencies
- Provide routine compliance/regulatory consultation
Requirements
What you’ll need- Bachelor’s degree or significantly relevant and substantial work experience
- 0-5 years of directly related experience
- FINRA Series 7, 65 or 66, and 24 required or obtained within 90 days of hire/transfer
- Strong product/industry knowledge desired
- Strong analytical skills
- Attention to detail and excellent follow through
- Collaborative approach
- Strong verbal and written communication skills
Benefits
Comp & perks- Various bonuses, including 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
- Other employee benefits