Hybrid Senior Insurance & SEC Compliance Analyst

Transamerica; Baltimore (MD); Hybrid; USD 94,000 - 114,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Disability Insurance

Medical Insurance

Dental Insurance

Vision Insurance

Job summary

Transamerica in the United States is seeking an experienced Legal Support professional to assist with insurance and annuity product registrations with the SEC under the Investment Company Act and Securities Act. The role supports policy owner services and claims administration related to annuity products.

The position requires strong research, analytical, and communication skills, plus the ability to coordinate with Legal, Compliance, and Operations teams in a hybrid office environment.

Qualifications

• Bachelor’s degree in a business-related field or equivalent experience.
• 10 years’ experience with products registered with the SEC under the Investment Company Act of 1940 and/or the Securities Act of 1933.
• Knowledge of financial services and annuity products.
• Outstanding written and verbal communication skills.
• Research and analysis skills to determine solutions for business needs.
• Decision-making and problem-solving skills.
• Organizational skills and the ability to manage competing priorities.
• Proficiency using MS Office tools, legal research tools, and the SEC’s EDGAR website.

Responsibilities

• Research and apply existing federal and state laws, rules, and regulations as they relate to insurance and annuities products registered with the SEC and become a trusted subject matter expert on these topics.
• Work with internal Legal, Compliance, and Operations staff to support existing registered products, and fixed annuities, including consultation on policy interpretation, claims issues, escalated complaints, and complex operational matters.
• Assist the Product Registration team and internal counsel in maintaining and appropriately updating required disclosures for existing products, including review of annual prospectus filings and other SEC filings as needed.
• Serve as a trusted resource for business areas on matters relating to new product development and the registration of new, initial SEC registration statements.
• Assist in resolving SEC staff comments and addressing outside counsel concerns relating to new products, product enhancements, and disclosure changes.
• Stay informed about new and prospective changes in applicable law, including through participation in industry groups and through internal and external educational opportunities.
• Communicate relevant changes in law to business areas and provide practical guidance to support effective implementation.
• Manage and maintain documentation for Fund Participation Agreements and related legal contracts and amendments.
• Work with internal Legal and Compliance staff to manage responses to market conduct and regulatory examinations.
• Perform varied and complex legal and administrative tasks.
• Lead or assist special projects as assigned.

Skills

Communication skills

Research and analysis

Decision making

Organizational skills

Education

Bachelor’s degree in business-related field or equivalent

10 years’ SEC-related experience

Tools

MS Office

Legal research tools

EDGAR

Job description

Transamerica in the United States is seeking an experienced Legal Support professional to assist with insurance and annuity product registrations with the SEC under the Investment Company Act and Securities Act. The role supports policy owner services and claims administration related to annuity products.

The position requires strong research, analytical, and communication skills, plus the ability to coordinate with Legal, Compliance, and Operations teams in a hybrid office environment.