Sr Compl / Reg Analyst LIC

This position is responsible for analyzing and applying complex regulatory and compliance requirements to Thriventu2019s 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 Thriventu2019s leadership competencies u2013 courage, collaboration, and commitment by demonstrating resiliency, working together to make the best decisions, and holding yourself and others accountable. u200b + 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 Thriventu2019s trust and reputation remain strong with its clients. Required Job Qualifications + Bacheloru2019s 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 Thriventu2019s 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 $81,537.00 - $110,315.00 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. Thriventu2019s plans/policies are subject to change at any time at Thriventu2019s 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 to or call 800-847-4836 and request Human Resources. 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 theyu2019ve been given. At our heart, we are a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our customers. We focus on their goals and priorities, guiding them toward financial choices that will help them live the life they want todayu2014and tomorrow. For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, itu2019s a Fortune 500 company that offers a full range of expert financial solutions, serving more than 2 million customers, as well as the communities in which they live and work. Thrivent fosters a diverse workforce to serve our diverse clientele, reflecting a wide range of backgrounds and experiences. If youu2019re intrigued about our work and the possibility of becoming part of it, we invite you to visit to learn more. You wonu2019t just build a career; youu2019ll be part of an organization focused on growing, innovating, and serving.

Created: 2026-01-30