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Asset Management Compliance Manager at Thrivent - ApplyBlast

Asset Management Compliance Manager

Thrivent

3 months ago

3.7 on Glassdoor

Minneapolis, MN

Hybrid

Full Time

Senior

0 applicants

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About this role

This role manages the compliance program within investments at Thrivent, overseeing portfolio compliance, trading compliance, proxy voting, and liquidity risk management. The position involves analyzing compliance risks, establishing independent oversight systems, and collaborating with legal, trading, and portfolio management teams to ensure regulatory adherence. Candidates must possess advanced skills in data analysis, securities knowledge, and investment management processes.

Responsibilities

Oversee portfolio compliance and monitor client investment guidelines
Administer liquidity and derivative risk management programs
Conduct firm-wide trade monitoring for regulatory compliance
Develop reports for oversight committees and regulatory bodies
Evaluate and improve compliance processes and internal controls

Skills

Qualifications

Bachelor's degree in Finance or AccountingCFACPAMBA7-10 years of securities/investment experience

About Thrivent

thrivent.com

Headquarters

Minneapolis, Minnesota, United States

Company Size

5001-10000 employees

Founded

1902

View Profile

Thrivent is a purpose-driven financial services company offering a broad range of products and services including financial planning, banking, investments, annuities, mutual funds, ETFs, and insurance. Their financial advisors help clients build personalized financial plans aligned with their values, goals, and communities. Thrivent also runs generosity programs that empower clients to give back and make a difference with their money.