Elton Chan


Senior Compliance Analyst

Thrivent Investment Management Inc.


Elton Chan, Senior Compliance Analyst, Thrivent Investment Management Inc. Mr. Chan is a Senior Compliance Analyst at 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 compliance testing programs and consults with various internal business partners on a variety of initiatives. While he has experience on 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. He was previously part of the team that examined the firm’s various OSJ offices, created and developed firm element content, and responded to state securities regulators as part of their routine examinations of branch offices. 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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