Elton Chan
Lead Senior Compliance Analyst
Thrivent
Professional Bio
Elton Chan serves as Lead Senior Compliance Analyst at Thrivent, supporting Thrivent Investment Management Inc. in Minneapolis, Minnesota. With more than a decade of experience in compliance, Mr. Chan is frequently sought by stakeholders, business partners, and colleagues for his expertise in navigating the complexities of an evolving regulatory environment. He assists them in adapting to new regulations and ongoing adherence to standards.
Before joining Thrivent, Mr. Chan worked at U.S. Bancorp Investments, Inc., first in the registrations department and subsequently as supervisor for their advertising compliance department.
Mr. Chan earned a Bachelor of Science degree in Economics from the University of Washington and holds certifications in Economic Theory and Quantitative Methods. He also maintains the following securities registrations: S4, S7, S24, S53, and S66.
Currently, Mr. Chan is a steering committee member for the Twin Cities RIA Compliance Roundtable, serves on the NSCP Board of Directors, and is a member of the NSCP Finance Committee. His previous roles include serving on the NSCP Executive Committee and chairing both the Finance and Conferences Committees.
Before joining Thrivent, Mr. Chan worked at U.S. Bancorp Investments, Inc., first in the registrations department and subsequently as supervisor for their advertising compliance department.
Mr. Chan earned a Bachelor of Science degree in Economics from the University of Washington and holds certifications in Economic Theory and Quantitative Methods. He also maintains the following securities registrations: S4, S7, S24, S53, and S66.
Currently, Mr. Chan is a steering committee member for the Twin Cities RIA Compliance Roundtable, serves on the NSCP Board of Directors, and is a member of the NSCP Finance Committee. His previous roles include serving on the NSCP Executive Committee and chairing both the Finance and Conferences Committees.
Organization
Thrivent
Thrivent
Member