Lead Compliance Analyst – Compliance Testing & Regulatory Oversight

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 compliance programs of a broker-dealer, registered investment adviser, and insurance agency by leading compliance testing, monitoring, and regulatory oversight activities that mitigate legal, regulatory, operational, and reputational risk. Apply advanced knowledge of applicable rules and regulations to independently evaluate controls, identify risks and trends, lead complex testing initiatives, and recommend enhancements that support regulatory compliance and business objectives. Job Description Responsibilities • Serve as the primary owner and coordinator for assigned compliance testing, regulatory monitoring, and compliance oversight programs across the broker-dealer, registered investment adviser, and insurance agency including annual FINRA Rule 3120 and Advisers Act Rule 206(4)-7 compliance reviews.  • Lead the planning, execution, documentation, and ongoing enhancement of risk-based compliance testing programs, including the development and maintenance of regulatory risk assessments; testing methodologies, sampling approaches, procedures, workpapers, and calendars; reporting frameworks; risk matrices; compliance logs; and supporting records.  • Evaluate business processes, supervisory controls, policies, procedures, products, and services to assess compliance with applicable SEC, FINRA, and state regulatory, and internal requirements.  • Analyze testing results to identify control weaknesses, root causes, emerging risks, and recurring issues, and recommend practical improvements to strengthen compliance controls, business practices, and the maturity of the compliance testing and monitoring program.  • Prepare and present testing results, compliance metrics, trend analyses, management reporting, and regulatory summaries to Compliance leadership and business stakeholders.  • Coordinate and support regulatory examinations, audits, inquiries, investigations, and requests by gathering documentation, conducting analysis, drafting responses, and supporting remediation efforts.  • Research and interpret new and existing regulatory requirements, guidance, enforcement developments, and industry best practices; assess potential impact and recommend appropriate action.  • Collaborate with Compliance, Legal, Supervision, Operations, Risk, Product, and business partners to implement corrective actions, process improvements, regulatory initiatives, business initiatives, and control enhancements.  • Provide guidance, training, and technical support to team members and business partners regarding testing methodologies, regulatory requirements, and compliance expectations.  • 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, advisory compliance or other relevant experience.  • Strong working knowledge of FINRA and SEC requirements.  • Experience supporting compliance programs, compliance testing, regulatory examinations, and compliance risk assessments.   • FINRA Series 7 and 24 licenses. or ability to obtain required licenses within a specified timeframe.   • Excellent written and verbal communication skills, including the ability to communicate regulatory requirements and compliance expectations to diverse audiences.

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