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Job FamilyRegulatory Compliance
About UsAt Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.
Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.
Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit www.transamerica.com.
Who We Are
Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.
What We DoTransamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).
Job Description SummaryHelps to mitigate legal exposure/risk to the organization by enforcing company policies and procedures as well as to perform compliance functions, surveillance of business, other risk-based reviews, and assist with testing related to the BD and RIA annual 3120 and 206(4)-7 obligations. Possesses and applies broad knowledge of concepts and principles; works independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.
ResponsibilitiesJob Description
Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Review and analyze trades and trade data for potential risks/patterns of potential misconduct, trends and/or improper processing.
Identify potential risks and identify reports/processes/systems to review, eliminate and/or mitigate those risks.
Develop, produce, and maintain reports/summaries to demonstrate surveillance and risk mitigation performed.
Develop ways to improve and/or automate current surveillance reports/reviews and enhance overall process efficiency/effectiveness.
Compile information for completion of reporting, including reports for management and state/federal regulators. With minimum supervision perform analysis, identify trends and follow up on opportunities for enhancement.
Manage, oversee and analyze reports from third-parties (e.g., product providers, sub advisors, audit firms, etc.).
Perform surveillance functions to ensure compliance with current state and/or federal regulations.
As needed, conduct internal broker/dealer 3120 and registered investment advisor 206(4)-7 annual testing and assist in creating, drafting, and compiling annual reports related to firm testing.
Update and maintain complete and accurate policies, procedures, compliance logs or files, to include all surveillance/testing/sampling records related to the firm’s surveillance and annual testing.
Assist team members with research, assigned tasks and provide training as needed.
Completes ad hoc tasks as needed by management.
Qualifications
Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Four years of securities regulatory compliance experience.
Must have a general knowledge of insurance and securities laws, regulations, rules, etc.
Must have in-depth knowledge of securities and insurance products.
FINRA licensing (Series 7 & 24) required.
Exemplary written and verbal communication skills.
Analytical skills and the ability to perform complex research required.
Proficiency using MS Office tools.
Strong proficiency using Excel.
Preferred Qualifications
Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
FINRA licensing (Series 65/66) is preferred.
Working Conditions
Office environment
Remote working environment
Compensation
The US salary for this position generally ranges between $75,000 - $85,000 annually. This range is an estimate, based on potential employee qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally in the US, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
What We OfferFor eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
College Coach Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs
Peer Recognition Program (BRAVO)
As of December 31, 2022
Inclusion & Diversity
We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.
To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.
Giving Back
We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.
Transamerica’s Parent Company Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Insurance and Financial Services
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