BDIA Due Diligence Analyst

This position is responsible for providing due diligence oversight of TIMI’s brokerage and managed account programs, certain investment offerings, 529 Plan providers and 401k plan providers. Due diligence oversight of the brokerage and managed account platform includes model providers and certain SMA managers, as well as the managed account platform and the clearing and custody providers. This position interfaces with Compliance, Legal, and TAM personnel as well as third party vendors providing products and services through TIMI’s BDIA Services group. This can be a remote position within the US. Job Duties and Responsibilities Conduct and maintain a due diligence program with a span of coverage including model providers and certain SMA managers Due diligence program will also include coverage of vendors utilized by TIMI/BDIA Services including product, managed account platform, and clearing and custody providers Organize pre and post due diligence meetings with Brokerage Operations, Surveillance and Compliance regarding questions and answers for managed account platform and clearing and custody provider Conduct firm level as well as investment management due diligence May include performing suitability analysis on trade recommendations provided to TIMI by certain model providers to its discretionary manage account programs May include the management of lists of SMA manager and mutual funds that TIMI makes available for use by Thrivent FRs with their clients Partners with key stakeholders in a collaborative manner Identifies and takes action to correct compliance deficiencies Applies knowledge to business practice, communications or procedures to draw conclusions and to recommend appropriate action Required Job Qualifications Bachelor's degree or significantly relevant and substantial work experience. 3-10 years of directly related experience in conducting due diligence on financial services firms. In-depth knowledge of applicable laws and regulations, regulatory requirements and industry best practices. Investment research experience preferred FINRA SIE, Series 7 and 24 required or obtained within 90 days of hire/transfer Other Critical Factors Strong analytical and decision make skills. Attention to detail and excellent follow through. Collaborative approach and ability influence other. Strong communication (verbal and written) and technical skills. Pay Transparency Thrivent’s 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 $89,895.00 - $121,621.00 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. 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. Thrivent’s plans/policies are subject to change at any time at Thrivent’s 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 View email address on click.appcast.io or call View phone number on click.appcast.io 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 they’ve 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 today—and tomorrow. For over 100 years, Thrivent has been helping people build their financial futures and live more generous lives. Today, it’s 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 you’re intrigued about our work and the possibility of becoming part of it, we invite you to visit Thrivent.com to learn more. You won’t just build a career; you’ll be part of an organization focused on growing, innovating, and serving. #J-18808-Ljbffr Thrivent Financial