Intermediate Compliance Analyst (Broker-Dealer, Investment Advisor, Insurance Agency)

Job Family

Regulatory Compliance

About Us 

 

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.  

 

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. 

     

Who We Are 

  

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.  

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. 

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. 

What We Do 

 

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. 

 

Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com.  

Job Description Summary

The Intermediate Compliance Analyst plays a crucial role in mitigating legal exposure and risk to the organization by enforcing company policies, procedures, and regulatory requirements. You'll have the opportunity to creatively flex your analytical, investigative, and problem-solving skills in various ways while working with some instruction or guidance with with applicable latitude for un-reviewed actions or decisions, and performs assignments with direction and guidance from management.

Job Description

Responsibilities

•  Collaborate across departments, divisions, and the company to perform oversight testing of procedures and internal controls. Participate in the ongoing execution of our compliance testing programs, including testing as required by SEC and FINRA rules and state insurance requirements.

• Evaluate, document, and present results of testing.

• Document written testing plans and compliance testing procedures.

• Identify enhancements and remedial actions required to address compliance observations.

• Contribute to the creation and implementation of compliance policies, procedures and training materials.

• Evaluate i