Senior Compliance Analyst — Hybrid (FINRA/SEC)

Transamerica

Cedar Rapids (IA)

Hybrid

USD 90,000 - 100,000

Full time

14 days+

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Benefits offered by this job

Competitive compensation

Hybrid work environment

Health benefits

Paid time off

Job summary

Transamerica is seeking a qualified Compliance professional to strengthen our testing, monitoring, and regulatory oversight programs for our broker-dealer, registered investment adviser, and insurance agency. You will lead risk-based testing, assess SEC/FINRA and state requirements, and collaborate with Legal, Risk, Operations, and Product to implement corrective actions.

This hybrid role in Cedar Rapids, IA offers a comprehensive benefits package and opportunities to influence compliance

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 within a specified timeframe.
Excellent written and verbal communication skills for regulatory requirements and compliance expectations.
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 and regulatory monitoring across the broker-dealer, registered investment adviser, and insurance agency.
Lead the planning, execution, documentation, and ongoing enhancement of risk-based compliance testing programs.
Evaluate business processes and controls to assess compliance with SEC, FINRA, state regulatory, and internal requirements.
Analyze testing results to identify weaknesses and risks and recommend practical improvements.
Prepare and present testing results, metrics, trend analyses, and regulatory summaries to leadership and stakeholders.
Coordinate and support regulatory examinations, audits, inquiries, and remediation efforts.
Research and interpret new regulatory requirements and assess impact.
Collaborate with multiple teams to implement corrective actions and improvements.