Senior Director, Compliance — BD/RIA Oversight; Hybrid
Job in
Baltimore, Anne Arundel County, Maryland, 21276, USA
Listed on 2026-07-27
Listing for:
Transamerica
Full Time
position Listed on 2026-07-27
Job specializations:
-
Management
Regulatory Compliance Specialist, Risk Manager/Analyst -
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Transamerica is seeking a senior Compliance leader to oversee Broker Dealer and RIA compliance for our Retirement segment. You will manage a team of professionals, partner with the Retirement Chief Compliance Officer, and drive a robust compliance program across advisory, brokerage, and investment products, leveraging deep FINRA/SEC expertise.
You will influence senior business leaders, implement regulatory change, and deliver governance reporting, risk assessments, and program enhancements in a
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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