Hybrid Lead Compliance Surveillance Analyst

Transamerica; Baltimore (MD); Hybrid; USD 90,000 - 100,000; Full time

Job summary

Transamerica is seeking a Compliance professional to mitigate legal, regulatory, operational, and reputational risk by supporting oversight and sales practice surveillance across insurance and securities channels. The role conducts surveillance reviews and analyzes trends in collaboration with business partners.

Responsibilities include refining policies, building surveillance scenarios, producing management reports, and supporting regulatory examinations.

Qualifications

• Must have a bachelor's degree in a relevant field and 5+ years of regulatory, securities, or advertising compliance experience.
• Strong written and verbal communication skills.
• Analytical and research capabilities; proficient with MS Office.

Responsibilities

• Review and evaluate existing policies, procedures, surveillance methodologies, monitoring controls, and risk management practices to identify opportunities for enhancement.
• Recommend and support the implement of process improvements, surveillance enhancements, and controls to mitigate agent oversight and sales practice risk.
• Conduct risk-based surveillance and monitoring to identify potential regulatory, compliance, supervisory, and business conduct concerns.
• Lead and support the design, development, and testing of new or enhanced surveillance scenarios, risk indicators and reporting.
• Develop and present management reporting that summarizes surveillance activity, trends, and corrective actions.
• Support regulatory examinations, audits, inquiries, internal reviews, and information requests by gathering documentation and coordinating responses.
• Determine and coordinate appropriate case outcomes including monitoring, remediation, or referrals.

Skills

Written and verbal communication

Analytical and research skills

MS Office proficiency

Education

Bachelor’s degree in business, marketing, pre-law or other relevant field

Five years of regulatory, securities, or advertising compliance experience

Job description

Transamerica is seeking a Compliance professional to mitigate legal, regulatory, operational, and reputational risk by supporting oversight and sales practice surveillance across insurance and securities channels. The role conducts surveillance reviews and analyzes trends in collaboration with business partners.

Responsibilities include refining policies, building surveillance scenarios, producing management reports, and supporting regulatory examinations.