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Senior Compliance Analyst — FINRA/SEC Focus
Job in
Denver, Denver County, Colorado, 80285, USA
Listed on 2026-08-09
Listing for:
Transamerica
Full Time
position Listed on 2026-08-09
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Transamerica is seeking a seasoned Compliance professional to strengthen and lead testing, monitoring, and regulatory oversight across a broker-dealer, registered investment adviser, and insurance agency. You will evaluate processes, supervise control activities, and drive improvements to align with SEC, FINRA, and state requirements.
The role requires expertise in FINRA/SEC regulations, testing programs, and strong communication skills to report findings and coordinate examinations.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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