Compliance Manager - Agent Regulatory Compliance​/Agent Misconduct; Hybrid

Position: Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
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.

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.
* Develop and execute oversight programs for agents, agencies and broker dealers selling insurance and annuity products.
* Monitor agent, agency, and broker dealer activities for compliance with state, federal, and company regulations.
* Review sales practices, suitability, and documentation to ensure adherence to standards.
* Analyze trends and patterns in agents performance and compliance issues to recommend training and process improvements.
* Lead a team responsible for insurance and annuity agent monitoring, support and compliance
* Identify and assess potential compliance risks related to agent behavior and sales practices.
* Direct and assign projects to technical and administrative staff.
* Review projects for completeness and overall performance of compliance department staff.
* Determine impact on administrative and marketing functions in regard to legislation changes.
* Assist in the development of new marketing materials and concepts.
* Create response to complex complaints.
* Oversee complex investigations.
* Initiate projects to improve the efficiency of the compliance department.
* Develop analytical abilities of technical staff to enable them to achieve degree of expertise.
* Establish departmental policies and procedures.
* Prepare reports on operation of department.
* Represent the company at various industry related meetings.
* Assist in evaluating overall Compliance Risk factors.
* Assist the legal department with state insurance department audits, corporate audits, and internal audits.
* Support and drive the continuous improvement of team performance by tracking key KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
* Bachelor’s degree in business, marketing, political science, pre-law, paralegal or other relevant area.
* Minimum of 5 years insurance or securities experience.
* Strong knowledge of insurance and annuity products and regulatory requirements (FINRA, NAIC, state insurance laws, etc.) regarding financial crimes and insurance compliance.
* At least 1 year supervisory experience preferred.
* Excellent written and verbal communication skills.
* Advanced analytical, interpretive, organizational and negotiations skills.
* Understanding of contract law and company operations.
* Pension Plan
* 401k Match
* Employee Stock Purchase Plan
* Tuition Reimbursement
* Disability Insurance
* Medical Insurance
* Dental Insurance
* Vision Insurance
* Employee Discounts
* Career Training & Development Opportunities
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