Sr Director, Investment Compliance

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.
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Job Description Summary

Provides strategic leadership and direction in the design, implementation, and oversight of compliance programs supporting Transamerica Life Insurance Company's general account investment activities within the Office of the Chief Investment Officer (OCIO), ensuring adherence to regulatory requirements and internal policies while promoting a strong culture of compliance and ethical conduct. This position is part of the compliance leadership team, supporting the build-out of the Chief Investment Office and will report into the Enterprise Chief Compliance Officer.

Job Description

Responsibilities:

* Design, implement, and maintain a comprehensive compliance program for investment advisory activities over the general account in alignment with the National Association of Insurance Commissioners (NAIC) Investments of Insurers Model Act, Iowa Code Chapters 508/511, and New York Insurance Law.

* Establish and maintain written policies and procedures covering investment advisory, portfolio management, trading, conflicts of interest, personal trading, material nonpublic information (MNPI), information barriers, and post-trade compliance.

* Provide independent compliance oversight to ensure adherence to applicable laws, regulations, and internal policies.

* Oversee and evaluate compliance monitoring and testing activities across investment functions, including the annual review of the derivatives use plan.

* Identify, escalate, and track remediation of compliance issues, regulatory findings, and control gaps.

* Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense.

* Serve as a strategic compliance partner to senior investment leadership, fostering a culture of compliance, risk awareness, and ethical conduct.

* Lead, develop, and mentor compliance professionals, promoting accountability, performance, and continuous improvement.

* Drive efficiency and effectiveness through process improvements, data analytics, and technology-enabled compliance solutions.

Qualifications:

* Bachelor's degree or equivalent experience

* 12 years of asset management compliance experience

* Expertise in investment compliance, including innovative investment strategies such as private equity, real estate, infrastructure, and alternative credit

* Strong analytical and problem-solving skills

* Strong leadership and management skills

* Excellent interpersonal and written and verbal communication skills

* Ability to influence and collaborate with senior executives, investment professionals, and external stakeholders

* Ability to navigate ambiguity and drive results in a…