Senior AML Compliance Lead: Financial Crimes

Transamerica; Philadelphia (Philadelphia County); Hybrid; USD 95,000 - 105,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Health Insurance

Job summary

Transamerica is seeking a senior AML compliance professional to lead complex monitoring, investigations, and risk assessments across broker-dealer, RIA, trust, and affiliated insurance entities. You will guide regulatory interpretation and drive program enhancements with strong collaboration across compliance and business partners.

You’ll influence remediation strategies and work in a hybrid environment with three in-office days per week at one of our hub locations.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
• 4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
• FINRA Series 7 and 24 or 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry date
• Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controls
• Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
• Experience leading AML supervisory controls, testing, monitoring, or issue remediation
• Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-making
• Ability to work with significant independence and judgment while determining approach for complex work
• Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness

Responsibilities

• Lead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations across assigned securities or regulated compliance functions.
• Evaluate complex business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify significant risks, trends, and control gaps.
• Guide interpretation of applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders on practical application.
• Lead complex AML reviews, including transaction monitoring, exception reporting, investigations, escalations, and assessment of trends, potential suspicious activity, compliance risks, and related program or control enhancements.
• Lead or coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests.
• Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies to support sustainable control improvements.
• Serve as an AML subject matter resource to business partners, compliance stakeholders, and management on complex AML requirements, financial-crime risks, and practical application.
• Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions to strengthen compliance outcomes.
• Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, or enterprise initiatives.
• Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.

Skills

AML compliance

Regulatory knowledge

Stakeholder communication

Analytical thinking

Project leadership

Education

Bachelor’s degree in business, legal studies, risk management, compliance or related field

Tools

Microsoft Office

Compliance systems

Job description

Transamerica is seeking a senior AML compliance professional to lead complex monitoring, investigations, and risk assessments across broker-dealer, RIA, trust, and affiliated insurance entities. You will guide regulatory interpretation and drive program enhancements with strong collaboration across compliance and business partners.

You’ll influence remediation strategies and work in a hybrid environment with three in-office days per week at one of our hub locations.