Speakers

Elton Chan

Sr. Compliance Analyst

  • Company: Thrivent Investment Management, Inc.
  • Short Bio:Elton Chan, Senior Compliance Analyst, Thrivent. Mr. Chan is a Senior Compliance Analyst at Thrivent - primarily supporting Thrivent Investment Management, Inc. - and is based in Minneapolis, Minnesota. He currently works as part of the team that maintains the firm’s compliance policies and supervisory procedures and conducts oversight of various functions. Additionally, Mr. Chan consults with internal business partners on a variety of initiatives. While he has experience with both broker dealer and investment advisory matters, he focuses on advisory topics. Additionally, he serves on the steering committee for the Twin Cities RIA Compliance Roundtable. Prior to joining Thrivent, Mr. Chan was at U.S. Bancorp Investments, Inc. where he started in their registrations department before becoming the firm’s primary advertising compliance principal and eventually being named an officer of the company and supervisor of the advertising compliance department. Mr. Chan holds a B.S. degree in Economics and is also certified in Economic Theory and Quantitative Methods from the University of Washington. He currently holds the following securities registrations: S4, S7, S24, S53, S66.
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