Senior AML Compliance Leader

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

Benefits offered by this job

Bonus for Eligible Employees

Pension Plan

401k Match

Job summary

Transamerica is seeking an experienced AML compliance professional to lead complex investigations, monitoring, and risk-based reviews within its Compliance Department. This role guides regulatory interpretation, advises stakeholders, and drives program enhancements across broker-dealer, registered investment adviser, and affiliated insurance activities.

The position requires strong AML knowledge, FINRA licensing, and the ability to lead cross-functional initiatives.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 7+ years of regulatory compliance experience in securities, financial services, risk management, internal audit, testing, monitoring, or other relevant areas.
• 4+ years of AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance experience.
• FINRA Series 7 and 24 or 6 and 26, or obtain within 6 months of job entry date
• Extensive knowledge of AML laws, regulations, transaction monitoring, suspicious activity identification and escalation
• Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
• Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-making

Responsibilities

• Lead complex AML 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

Advanced communication

Independent judgement

Microsoft Office

Regulatory knowledge

Influencing skills

Leadership

Education

Bachelor’s degree in business or related field

Tools

FINRA licenses

Job description

Transamerica is seeking an experienced AML compliance professional to lead complex investigations, monitoring, and risk-based reviews within its Compliance Department. This role guides regulatory interpretation, advises stakeholders, and drives program enhancements across broker-dealer, registered investment adviser, and affiliated insurance activities.

The position requires strong AML knowledge, FINRA licensing, and the ability to lead cross-functional initiatives.