Sr Mgr Compliance - TFA

Job Family

Regulatory Compliance

Job Description Summary

Transamerica Financial Advisors (TFA) is seeking an experienced Senior Manager, Compliance to help lead and strengthen our compliance program supporting our retail broker dealer and registered investment advisor (RIA) businesses. Reporting to the Chief Compliance Officer, this role is ideal for a hands-on compliance leader who brings deep regulatory expertise, strong judgment, and proven people leadership.
Assist the Divisional Compliance Officer/Director, Compliance in supervising or managing multiple functions, activities and operations of the business units'/divisions' Compliance Departments. Prevent, detect and assist in resolving potential violations of state and federal laws and regulations and the rules of self-regulatory and industry ethical standards organizations.

Job Description

Responsibilities

• Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.

• Lead advisory compliance for the RIA, including policies and procedures, Form ADV management, and regulatory filings (e.g., 13F, 13H).
• Oversee broker‑dealer and RIA surveillance programs, including risk‑based transaction reviews and trend analysis.
• Manage back‑end surveillance of securities activity and affiliated insurance business
• Partner with Supervision and business leaders to investigate, escalate, and resolve potential compliance issues.
• Monitor regulatory developments impacting the broker‑dealer, RIA, and insurance activities and guide implementation across the organization.
• Lead, mentor, and develop compliance advisory and surveillance teams, fostering a strong culture of accountability and continuous improvement.
• Support and drive the continuous improvement of team performance by tracking Key Performance Indicators, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
• Develop and deliver compliance training for home‑office and field audiences.
• Leverage compliance surveillance tools and emerging technologies to enhance risk identification and program effectiveness

Qualifications

• Bachelor’s degree in business, accounting, or a related field.
• 8+ years of compliance or regulatory experience in a retail broker‑dealer and RIA environment.
• 3+ years of people leadership experience.
• Strong working knowledge of SEC, FINRA, and state securities regulations.
• Active Series 7, 24, and 66 licenses.
• Excellent communication, analytical, research and problem‑solving skills.
• Extensive experience with MS Office tools

Preferred Qualifications

• Insurance license.
• Experience in the insurance industry or with insurance products.
• Experience with compliance surveillance tools or AI‑enabled research platforms (Co-Pilot, LexisNexis).
• Familiarity with FIS or similar compliance systems.

Why TFA

At TFA, Compliance plays a strategic role in protecting clients and supporting business growth. This position offers meaningful visibility, leadership responsibility, and the opportunity to shape a sophisticated compliance program within a collaborative organization.

Working Conditions

• Hybrid with 3 days working onsite

Compensation

The salary for this position generally ranges between $120,000 - $145,000 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.

Disclaimer:
Beware of fake job offers!

We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

• We will never request personal information such as ID or payment for equipment upfront.

• Official offers are sent via DocuSign following a verbal offer—not through text or email.

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

• 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