Senior Director, Compliance — Broker-Dealer/RIA (Hybrid
Job in
Denver, Denver County, Colorado, 80285, USA
Listed on 2026-08-22
Listing for:
Transamerica
Full Time
position Listed on 2026-08-22
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Transamerica, a leading financial services company, seeks a seasoned Compliance leader to oversee Broker Dealer and RIA compliance for Retirement, advising senior leaders and coordinating cross-functional teams. The role emphasizes FINRA/SEC expertise and proactive risk management.
The position requires deep regulatory knowledge, strategic leadership, and strong communication to shape the compliance program across advisory, brokerage, and investment products.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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