Intermediate Compliance Analyst - Conflicts Review - 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.
* Perform updates to employee conflicts reporting system to ensure access.
* Perform regular monitoring tasks to ensuring data accuracy and timely task completion in the conflicts reporting system.
* Approve ethics and conflict of interest disclosures with some assistance from more senior team members.
* Identify process improvement opportunities and recommend updates
* Work collaboratively with business partners to help resolve straightforward compliance cases as assigned.
* Stay informed about regulatory updates and assist with updating procedures as directed.
* Participate in the gathering of  data and preparation of responses to information requests from management, auditors and regulators.
* Protect the confidentiality and integrity of sensitive information in all compliance activities.
* Bachelor’s degree in business, marketing, pre-law or other field, or equivalent education and experience.
* Two years of regulatory, securities, or ethics-related experience.
* Series 7 & 24  licenses or the ability to obtain both within 9 months
* Written and verbal communication skills.
* Analytical and research skills.
* Proficiency using MS Office tools.
* The Salary for this position generally ranges between $60,000 - $75,000 annually.
*** Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including
*** qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
* Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
* 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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