Senior Regulatory Supervisory Principal (Remote
Remote / Online - Candidates ideally in
Northern, Floyd County, Kentucky, USA
Listed on 2026-08-22
Northern, Floyd County, Kentucky, USA
Listing for:
Transamerica Corporation
Full Time, Remote/Work from Home
position Listed on 2026-08-22
Job specializations:
-
Business
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst
Job Description & How to Apply Below
Location: Northern
Transamerica is seeking a Regulatory Compliance professional to supervise reviews for Transamerica Financial Advisors (TFA) professionals. The role focuses on principal review for suitability and best interest across mutual funds, annuities, brokerage, and advisory accounts.
You will maintain procedures, provide training, and support regulatory audits while collaborating with operations and compliance. A remote environment is offered with competitive pay and bonus potential.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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