Lead Compliance Analyst - FINRA/SEC Testing & Oversight
Job in
Baltimore, Anne Arundel County, Maryland, 21276, USA
Listed on 2026-08-09
Listing for:
Transamerica
Full Time
position Listed on 2026-08-09
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst
Job Description & How to Apply Below
Transamerica is seeking a senior Compliance professional to strengthen testing, monitoring, and regulatory oversight across broker-dealer, registered investment adviser, and insurance agency. You will independently evaluate controls, identify risks, and lead complex testing initiatives to support regulatory compliance and business objectives.
The role requires 5+ years in regulatory compliance, FINRA/SEC knowledge, and strong communication.
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