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Senior Regulatory Compliance Principal - Sales Oversight
Job in
Denver, Denver County, Colorado, 80285, USA
Listed on 2026-09-08
Listing for:
Transamerica
Full Time
position Listed on 2026-09-08
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Transamerica is seeking a Regulatory Compliance professional to conduct suitability reviews and oversee registered representatives. The role involves preapproving complex products, providing training, and ensuring adherence to processes and controls across the RIA, broker/dealer and insurance channels.
The ideal candidate has several FINRA licenses, strong analytical and communication skills, and a solid grasp of securities regulations.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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