Testing Lead Compliance Analyst (FINRA licenses required)

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

Transamerica Financial Advisors (TFA) is searching for a dynamic and experienced Testing Lead Compliance Analyst to help mitigate TFA’s risk by reviewing and enforcing company policies. This candidate will support TFA’s compliance program covering both the broker-dealer and investment advisor. The ideal candidate should have experience creating and performing testing related to the broker-dealer’s annual 3120 testing/reporting and to the registered investment advisor’s annual 206(4)-7 testing/reporting, etc. In addition, the candidate will assist with compliance testing for World Financial Group (WFG).

The candidate should possess and apply broad knowledge of FINRA, SEC, and other applicable regulators’ concepts and principles; work with minimal instruction or guidance with applicable latitude for un-reviewed action or decisions; and perform more complex assignments with minimal direction and guidance from management.

Job Description

Responsibilities:

• Conduct internal broker-dealer 3120 and registered investment advisor 206(4)-7 annual testing and assist in creating, drafting, and compiling annual reports related to firm testing.

• Review and analyze current policies and procedures; identify, recommend, and assist the business in implementing new and/or enhanced practice