Senior Director, Compliance - Broker Dealer & RIA

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 This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer to execute and enhance the compliance program. The role supports retirement, advisory, brokerage, managed accounts, and related investment products and requires deep FINRA/SEC expertise, proven compliance program leadership, and the ability to influence senior business leaders. Job Description Responsibilities • Set the strategic direction for assigned compliance functions while promoting   a strong culture of compliance, ethical conduct, accountability, and proactive risk identification.   • Serve as a   senior Compliance   contact for regulators, auditors, examiners, internal control partners ,   business   leaders,   and management on   significant   regulatory and compliance   matters .   • Lead , dev elop,   coach,   and assess   compliance   professionals, including setting priorities,   allocating   resources,   providing   technical guidance,   and ensuring high-quality execution.   • Advise on   complex compliance obligations, including   conflicts of interest, fiduciary   and   best interest requirements, sales practices, advertising   and   marketing review, compensation practices,   disclosures, and third-party oversight .   • Partner   with Legal, Risk, Internal Audit, Operations, Supervision, Product, and Sales leadership on enterprise risk ,   control , training, and compliance program   matters.   • Use   data, technology, surveillance tools, metrics , and reporting   to   strengthen   compliance monitoring, issue identification, management reporting , and program oversight .   • Oversee risk-based compliance monitoring, testing, assessments, control evaluations, regulatory change implementation, risk mitigation, remediation planning, policy development, and process improvements.   • Prepare and deliver   compliance reporting for senior management, governance committees, boards,   and   other oversight forums.   • Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts,   and   enterprise initiatives.  

Qualifications • Bachelor's degree in business, finance, pre-law, or other relevant   field , or equivalent education and experience.   • 12   years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.   • Current FINRA Series 7 and 24 or Series 6 and 26    • Proven ability to lead   teams   and cross-functional stakeholders through   regulatory change, transformation, control   enhancements, remediation,   and enterprise   initiatives.   • Executive-level communication, influence, and   judgment   to advise senior leaders   and   translate complex regulatory risks into practical business recommendations.  

Preferred Qualifications • Senior-level   leadership   or oversight   of   dual-registrant broker-dealer/RIA compliance programs, including governance, supervisory controls, regulatory change, and program effectiveness.   • Expert   knowledge of securities laws and compliance   requirements , including   Reg BI , fiduciary obligations, Form ADV, marketing rules, books and records, supervision, conflicts , and control frameworks .   • Broad product expertise   across   retirement   solutions,   managed accounts, mutual funds, annuities, advisory platforms,   brokerage products, and   related   investment   services .

Similar jobs

• Senior Director, Compliance — Gofundme · San Francisco, CA
• Associate Director, Compliance — Cogentbiosciences · Waltham, Massachusetts, United States
• Sr Director, Investment Compliance — Transamerica · Baltimore, Maryland | Denver, Colorado | Cedar Rapids, Iowa
• Director, Compliance — Dynetherapeutics · Remote
• Director, Compliance — Ensemble Health Partners · Remote
• Sr. Director, Compliance & Ethics — Bloom Energy · San Jose, California
• SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance — LPL Financial · New York | Fort Mill/Charlotte
• Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer) — MUFG · New York, NY