Hybrid Investment Compliance Senior Analyst

Transamerica; Philadelphia (Philadelphia County); Hybride; USD 85 000 - 95 000; Plein temps

Avantages offerts par ce poste

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Employee Discounts

Career Training & Development

Paid Time Off (PTO)

10 paid holidays

Be Well Program

Parental Leave

Adoption Assistance

Employee Assistance Program

Back-Up Care Program

Volunteer PTO

Matching Gifts

Employee Resource Groups

Diversity Programs

Employee Recognition Program

Referral Bonus Programs

Résumé du poste

Transamerica is seeking an Investment Compliance professional to design and execute a robust program supporting the CFO Office and General Account. You will mitigate regulatory and reputational risks through compliant investment management practices.

You will partner with CIO Office, Audit, Risk, Legal, and Operations to implement testing, monitoring, and governance enhancements, while supporting regulatory examinations and governance documentation.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field
• 5+ years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, and/or other relevant experience
• 2+ years of experience in insurance, registered investment adviser, retirement, investment, financial crimes, consumer affairs, regulatory change management, testing and monitoring, or other financial services compliance functions
• Experience collaborating with partners across Investments, Risk, Legal, Compliance, Operations, Sales, Marketing, and product teams
• Knowledge of state insurance, NAIC, SEC, ERISA, DOL, IRS, AML, privacy and related regulatory requirements
• Knowledge of regulatory compliance concepts, control testing, monitoring, policy review and remediation processes
• Ability to perform complex research, analyze, and interpret regulatory requirements and data
• Strong written and verbal communication skills for senior management
• Analytical, critical-thinking and organizational skills with attention to detail
• Ability to manage multiple priorities with minimal supervision
• Proficiency in Microsoft Office tools
• Preferred: Aladdin guideline monitoring system experience
• Preferred: FINRA licenses, state insurance licenses or related designations

Responsabilités

• Own investment compliance monitoring, surveillance, testing and regulatory change management initiatives
• Review investment activities, portfolio management, trading activity and related controls for regulatory adherence
• Research and interpret laws, regulations and industry guidance affecting General Account investments
• Identify emerging compliance risks and governance gaps across asset classes
• Coordinate regulatory examinations, internal/external audits and risk assessments
• Document testing procedures, results and remediation actions; collaborate with CIO Office, Audit, Risk Management and Legal
• Draft and maintain investment compliance policies, procedures and governance documents
• Advise investment professionals on regulatory requirements and guideline interpretation
• Contribute to enhancement of the investment compliance framework and governance processes
• Represent Investment Compliance on committees and strategic initiatives
• Support Head of Investment Compliance with leadership and mentorship

Connaissances

Regulatory compliance

Investment risk

Communication

Analytical thinking

MS Office

Formation

Bachelor’s degree in business or related field

Outils

MS Office

Regulatory systems (Aladdin)

Description du poste

Transamerica is seeking an Investment Compliance professional to design and execute a robust program supporting the CFO Office and General Account. You will mitigate regulatory and reputational risks through compliant investment management practices.

You will partner with CIO Office, Audit, Risk, Legal, and Operations to implement testing, monitoring, and governance enhancements, while supporting regulatory examinations and governance documentation.