Lead Compliance Analyst - Advisory

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 key member of the Compliance department, help strengthen the effectiveness of the firm's investment advisory compliance program by supporting regulatory oversight, compliance risk management, and compliance initiatives designed to mitigate legal, regulatory, operational, and reputational risk. Apply advanced knowledge of the Investment Advisers Act of 1940, fiduciary obligations, and SEC regulatory requirements to independently perform complex compliance activities, identify emerging risks, recommend practical solutions, and support the ongoing enhancement of the firm's compliance program. Job Description Responsibilities  • Serve as a lead resource for assigned advisory compliance programs, regulatory initiatives, monitoring activities, and compliance projects, including regulatory oversight, risk assessment, and policy implementation for advisory programs, products, and services.   • Interpret and assess the impact of new and existing SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the firm’s advisory business.   • Support the maintenance and ongoing enhancement of the firm’s compliance program, including policies and procedures, Code of Ethics, compliance testing, monitoring activities, risk assessments, and regulatory documentation.   • Coordinate the preparation, review, and maintenance of regulatory disclosures including Form ADV Parts 1, 2A, 2B brochure supplements, 13F, and 13H.   • Identify regulatory risks, conflicts of interest, control gaps, trends, and process improvement opportunities; prepare reports and recommend practical solutions to strengthen compliance oversight; assist in the implementation of solutions as necessary.   • Provide compliance guidance and support to business partners, financial professionals, and firm personnel regarding advisory compliance requirements, fiduciary responsibilities, SEC regulations, and firm policies.   • Collaborate with Legal, Operations, Product, Supervision, Compliance, and business partners to support compliant implementation of new products, services, operational changes, and strategic initiatives.   • Support regulatory examinations, audits, inquiries, investigations, and information requests by coordinating documentation collection, performing analyses, assisting with responses, and supporting remediation activities.   • Participate in initial and ongoing due diligence reviews of advisory products, programs, third-party service providers, and investment platforms to help ensure appropriate disclosures, agreements, and oversight.   • Assist with the development and delivery of compliance training, regulatory communications, educational resources, and knowledge sharing for financial professionals, as well as analysts and other team members.   • Complete additional tasks, special projects, and compliance-related initiatives as assigned. 

   Qualifications  • Bachelor’s degree in business, finance, or other relevant field, or equivalent education and experience.   • Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or other relevant experience  • Experience in advisory compliance supporting compliance programs, compliance testing, regulatory examinations and compliance risk assessments.   • Strong working knowledge of the Investment Advisers Act of 1940, SEC rules and regulations applicable to registered investment advisers, and fiduciary obligations.  • Knowledge of advisory products, investment mana

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