Senior Director, Compliance — Broker-Dealer/RIA Oversight
Job in
Denver, Denver County, Colorado, 80285, USA
Listed on 2026-08-15
Listing for:
Transamerica Corporation
Full Time
position Listed on 2026-08-15
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Transamerica seeks a senior regulatory compliance leader to oversee Broker Dealer and RIA compliance for Retirement, managing a team and partnering with the Retirement Chief Compliance Officer to execute and enhance the program.
The role requires deep FINRA/SEC expertise, proven leadership, and the ability to influence senior business leaders while ensuring effective risk management and regulatory change implementation across advisory, brokerage, and investment products.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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