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About the role
Key responsibilities & impact- Review and monitor the firm's insurance, securities, and/or investment advisory activities for compliance with policies and regulations
- Protect Thrivent Financial member-owners' interests
- Make risk-based decisions according to standard operating procedures
- Escalate complex or high-risk issues to management as appropriate
- Model Thrivent’s core values and leadership behaviors
- Collaborate with team members and business partners to achieve compliance and operational goals
- Participate in initiatives enhancing risk management, client services, operational efficiency, and excellence
- Support a culture of continuous improvement and accountability
- Interact with managers, individual contributors, field employees, vendors, contractors, and consultants
Requirements
What you’ll need- College degree or equivalent work experience
- 0–1 year working in the financial services industry
- Basic knowledge of FINRA, SEC, IA, and MSRB rules and regulations, with ability to interpret and apply them
- 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 66 required, or obtained within 90 days of hire/transfer
- FINRA Series 4, 51, 52, or 53 may also be required as directed by the manager and dependent upon specific job responsibilities
- Preferred: Experience participating in process improvement or operational efficiency projects
- Preferred: Exposure to compliance or regulatory environments in financial services
- Preferred: Familiarity with Thrivent’s core values and leadership behaviors
- Preferred: Initiative in supporting client-focused solutions
- Preferred: Prior experience reviewing correspondence and trade review
Benefits
Comp & perks- Various bonuses, including annual or long-term incentives
- Medical, dental, and vision insurance
- Health savings account
- Flexible spending account
- 401(k)
- 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
- Employee Assistance Program (EAP)
- Well-being benefits
- Other employee benefits