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Regulatory ComplianceAbout 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
Transamerica Financial Advisor (TFA) is searching for a Director of Compliance. This position will report to TFA’s Chief Compliance Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA’s retail broker-dealer and investment advisory business. The candidate will contribute to the success of the compliance program to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TFA. In addition, the candidate will assist the CCO in enhancing the compliance program for World Financial Group (WFG).This Director will be heavily involved in all areas of Compliance but specifically will oversee the Compliance Advertising and Anti-Money Laundering/Fraud programs for TFA and WFG. This position involves planning, organization, and execution of day-to-day operational compliance activities. Additionally, this individual will help maintain a strong compliance framework for a growing team. The Director will work with the business to remediate issues identified through testing. The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans.
Job Description
Responsibilities
- Advising the Chief Compliance Officer of potential regulatory risks, gaps, and vulnerabilities; implement and lead corrective action plans.
- Assisting in the hiring and training of compliance staff to support TFA and WFG’s compliance programs.
- Establishing relevant performance metrics to ensure team members understand their significance and expectations, and providing regular performance feedback.
- Developing, maintaining, and updating compliance policies, procedures, and controls to ensure compliance with applicable SEC, FINRA, and state securities rules and regulations.
- Creating training for home office and the field.
- Assisting and possibly leading regulation examinations and audits as assigned by the Chief Compliance Officer.
- Collaborating with TFA and WFG business partners on compliance, supervision, management, Advertising and AML/Fraud issues.
- Developing strong working relationships with TFA and WFG business partners (home office and in the field).
- Directing and leading compliance projects and initiatives involving business line senior managers; providing compliance guidance and advice.
- Providing guidance on the effective response to detected problems and offer recommendations for corrective action as appropriate.
Qualifications:
- Bachelor’s degree in business, accounting, or other relevant field
- 8+ years of regulatory or securities compliance experience, preferably in a retail broker-dealer and investment advisory environment
- At least 2 years of experience in compliance or internal audit functions at a supervisory or management level
- At least 2 years of experience in Advertising Compliance in the securities industry
- Experience in AML
- Knowledge of securities, insurance, and retirement laws, regulations, and rules as it pertains to the sale of such products
- FINRA Series 7, 24 & 66
- Excellent written and verbal communication skills
- Strong leadership skills
- Advanced analytical and research skills
- Proficiency using MS Office tools
Preferred Qualifications
- 4+ years in a leadership role
- FINRA Series 53
- Insurance license
- Experience with FIS® Supervision Compliance Manager
- Experience with National Financial Services/Fidelity platform
Working Conditions
Normal office environment utilizing Microsoft office products.
The Salary for this position generally ranges between $150,000-$170,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, 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 Offer
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Compensation Benefits
Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
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
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 23.9 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.
* As of December 31, 2023
Top Skills
Transamerica Denver, Colorado, USA Office
1801 California St, Denver, CO, United States, 80202
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