Intermediate Compliance Analyst - Broker Dealer & Registered Investment Advisor; Hybrid

Position: Intermediate Compliance Analyst - Broker Dealer & Registered Investment Advisor (Hybrid)
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.
* For more information, visit

Job Description Summary

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

Job Description

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

Responsibilities:

* Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.

* Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.

* Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.

* Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.

* Analyze processes, services and products; provide ongoing guidance to ensure compliance with regulatory and statutory requirements.

* Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.

* Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms).

* Provide guidance and support to business partners (e.g. Sales and Marketing) in creation of mandated product training.

*…