Compliance Manager - Surveillance

About this role

Job Family Regulatory Compliance About Us  

  At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of 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.  

Who We Are  

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life .   

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.  

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.  

What We Do  

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate , which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.  

Transamerica employs nearly 7 ,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com .   

Job Description Summary As a Manager in the Compliance department, this role is responsible for managing and advancing surveillance and oversight functions designed to mitigate legal, regulatory, operational, and reputational risk across securities and insurance distribution channels for the broker-dealer, registered investment adviser and insurance agency businesses.

This role provides strategic direction, people leadership, and program oversight for complex surveillance reviews, risk identification, trend analysis, management reporting, regulatory support, and cross-functional initiatives that strengthen compliance with regulatory requirements, company policies, and sales practice standards. Job Description Responsibilities • Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk. • Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls. • Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards. • Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations. • Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments. • Collaborate with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls. • Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements. • Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners. • Lead, coach, and develop team members by setting expectations, providing guidance and feedback, supporting quality assurance, and fostering accountability and continuous improvement.

Qualifications • Bachelor's degree in business, communications, finance or other relevant field, or equivalent and experience  • 5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.

Preferred Qualifications • 10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams. • FINRA Series 7 and 24, or other FINRA registrations required by assigned responsibilities. • Extensive knowledge and understanding of securities and advisory products, including applicable regulatory, supervisory, and sales practice requirements. • Strong leadership, judgment, critical thinking, analytical, investigative, and decision-making skills, with the ability to manage competing priorities and guide others through complex issues. •

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