Intermediate Compliance Analyst (Broker-Dealer, Investment Advisor, Insurance Agency)
Job Family
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
The Intermediate Compliance Analyst plays a crucial role in mitigating legal exposure and risk to the organization by enforcing company policies, procedures, and regulatory requirements. You'll have the opportunity to creatively flex your analytical, investigative, and problem-solving skills in various ways while working with some instruction or guidance with with applicable latitude for un-reviewed actions or decisions, and performs assignments with direction and guidance from management.Job Description
Responsibilities
Collaborate across departments, divisions, and the company to perform oversight testing of procedures and internal controls. Participate in the ongoing execution of our compliance testing programs, including testing as required by SEC and FINRA rules and state insurance requirements.
Evaluate, document, and present results of testing.
Document written testing plans and compliance testing procedures.
Identify enhancements and remedial actions required to address compliance observations.
Contribute to the creation and implementation of compliance policies, procedures and training materials.
Evaluate internal and external requests for information and contribute to drafting appropriate responses.
Assist with the oversight of the Company's service providers by executing agreed-upon diligence as determined by the CCO and members of the Legal and Compliance department.
Perform analysis, identify trends, and follow up on opportunities for enhancement.
Provide training and guidance to colleagues and business partners regarding compliance obligations or changes in regulations and/or company procedures.
Stay abreast of changes in regulations and industry best practices to ensure ongoing compliance.
Qualifications
Bachelor’s degree in business, marketing, or a relevant field, or equivalent education and experience.
Two years of experience with securities products, as well as retirement insurance products.
·General knowledge of regulatory requirements such as the Investment Advisers Act, FINRA rules and/or state insurance requirements is a plus.
FINRA licensing is not required, but candidate can work toward completing (Series 7 & 24 or Series 6 & 26) during their career.
Good presentation skills with the ability to articulate clear ideas/strategies to multiple audiences
Organization and time management skills. Ability to effectively prioritize tasks, follow up, product consistently accurate work, meet strict deadlines.
Attention to detail, analytical, reasoning and problem solving sills
· A strong sense of integrity, behaving consistently with expressed values and ethical principles of Transamerica.
Must have the willingness to "roll up your sleeves" and take initiative in learning and applying new skills and regulations as well as building relationships.
The Salary for this position generally ranges between $62,000-$72,000 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
Average salary estimate
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