Lead Compliance Analyst - FINRA/SEC Testing & Oversight

Transamerica

Baltimore (MD)

Hybrid

USD 90,000 - 100,000

Full time

14 days+

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Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Paid Time Off

Job summary

Transamerica is seeking a senior Compliance professional to strengthen testing, monitoring, and regulatory oversight across broker-dealer, registered investment adviser, and insurance agency. You will independently evaluate controls, identify risks, and lead complex testing initiatives to support regulatory compliance and business objectives.

The role requires 5+ years in regulatory compliance, FINRA/SEC knowledge, and strong communication.

Qualifications

Bachelor’s degree in business, finance, or other relevant field, or equivalent education and experience.
Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, advisory compliance or other relevant experience.
Strong working knowledge of FINRA and SEC requirements.
Experience supporting compliance programs, compliance testing, regulatory examinations, and compliance risk assessments.
FINRA Series 7 and 24 licenses, or ability to obtain required licenses within a specified timeframe.
Excellent written and verbal communication skills for diverse audiences.
Ability to research, analyze, and interpret complex regulatory requirements and assess business impacts.
Proficiency with Microsoft Office applications, advanced Excel and PowerPoint skills.

Responsibilities

Serve as the primary owner and coordinator for assigned compliance testing, regulatory monitoring, and compliance oversight programs across the broker-dealer, registered investment adviser, and insurance agency including annual FINRA Rule 3120 and Advisers Act Rule 206(4)-7 compliance reviews.
Lead the planning, execution, documentation, and ongoing enhancement of risk-based compliance testing programs, including the development and maintenance of regulatory risk assessments; testing methodologies, sampling approaches, procedures, workpapers, and calendars; reporting frameworks; risk matrices; compliance logs; and supporting records.
Evaluate business processes, supervisory controls, policies, procedures, products, and services to assess compliance with applicable SEC, FINRA, and state regulatory, and internal requirements.
Analyze testing results to identify control weaknesses, root causes, emerging risks, and recurring issues, and recommend practical improvements to strengthen compliance controls, business practices, and the maturity of the compliance testing and monitoring program.
Prepare and present testing results, compliance metrics, trend analyses, management reporting, and regulatory summaries to Compliance leadership and business stakeholders.
Coordinate and support regulatory examinations, audits, inquiries, investigations, and requests by gathering documentation, conducting analysis, drafting responses, and supporting remediation efforts.
Research and interpret new and existing regulatory requirements, guidance, enforcement developments, and industry best practices; assess potential impact and recommend appropriate action.
Collaborate with Compliance, Legal, Supervision, Operations, Risk, Product, and business partners to implement corrective actions, process improvements, regulatory initiatives, business initiatives, and control enhancements.
Provide guidance, training, and technical support to team members and business partners regarding testing methodologies, regulatory requirements, and compliance expectations.
Complete additional tasks, special projects, and compliance-related initiatives as assigned.