Senior Advisory Compliance Lead — Investment Regulation
Job in
Cedar Rapids, Linn County, Iowa, 52404, USA
Listed on 2026-08-11
Listing for:
Transamerica
Full Time
position Listed on 2026-08-11
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
Transamerica seeks an experienced Regulatory Compliance professional to strengthen the advisory compliance program. You will apply deep knowledge of the Investment Advisers Act and SEC requirements to support oversight, risk management, and program enhancements.
Responsibilities include coordinating Form ADV and related disclosures, guiding business partners, and collaborating with Legal, Operations, and Product to implement compliant regulatory changes.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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