Compliance Surveillance Manager

Transamerica; Cedar Rapids (IA); Hybrid; USD 100,000 - 115,000; Full time

Benefits offered by this job

Bonus

401k Match

Pension Plan

Medical Insurance

Paid Time Off

Job summary

Transamerica in Cedar Rapids is seeking a Compliance Manager to lead surveillance and oversight across securities and insurance channels. You will craft surveillance strategies, guide risk-based reviews, and report findings to senior leadership in a regulated, multi-line environment.

The role requires a Bachelor's degree and multiple years of securities/insurance compliance experience, with a focus on leading projects and teams.

Qualifications

• Bachelor's degree in business, communications, finance or other relevant field, or equivalent and experience.
• 5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.

Responsibilities

• Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk.
• Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls.
• Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards.
• Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations.
• Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments.
• Collaborate with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls.
• Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements.
• Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners.
• Lead, coach, and develop team members by setting expectations, providing guidance and feedback, supporting quality assurance, and fostering accountability and continuous improvement.

Job description

Transamerica in Cedar Rapids is seeking a Compliance Manager to lead surveillance and oversight across securities and insurance channels. You will craft surveillance strategies, guide risk-based reviews, and report findings to senior leadership in a regulated, multi-line environment.

The role requires a Bachelor's degree and multiple years of securities/insurance compliance experience, with a focus on leading projects and teams.