Senior Compliance Leader: Securities & AML Surveillance

Transamerica; Denver (CO); Hybrid; USD 75,000 - 85,000; Full time

Benefits offered by this job

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Pension Plan

Medical Insurance

Dental Insurance

Vision Insurance

Paid Time Off

Job summary

Transamerica is seeking a Regulatory Compliance professional to join the Surveillance team in a hybrid Denver office. You will conduct risk-based surveillance of securities transactions, research exceptions, and coordinate with regulators and internal partners to resolve issues.

A strong foundation in securities regulations and experience with monitoring programs are essential. The role requires a Bachelor's degree in a related field, 5+ years of compliance experience, and FINRA registration or

Qualifications

• Bachelor’s degree in a relevant field required.
• 5+ years of regulatory compliance or related experience.
• 2+ years in broker-dealer, registered investment adviser, insurance, retirement, or investment compliance.
• FINRA Series 7 and 24 or Series 6 and 26 (or able to obtain within 6 months).
• Strong knowledge of securities and/or advisory products and related laws.

Responsibilities

• Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee activity.
• Develop and execute complex compliance monitoring, testing, and surveillance.
• Analyze processes, policies, and disclosures to identify risks and gaps.
• Provide practical compliance guidance to business partners and document findings clearly.
• Coordinate responses to regulatory examinations and information requests.
• Identify root causes and recommend corrective actions.

Skills

Regulatory compliance

Securities knowledge

Communication skills

Analytical thinking

Microsoft Office

Education

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

Tools

Microsoft Office

Job description

Transamerica is seeking a Regulatory Compliance professional to join the Surveillance team in a hybrid Denver office. You will conduct risk-based surveillance of securities transactions, research exceptions, and coordinate with regulators and internal partners to resolve issues.

A strong foundation in securities regulations and experience with monitoring programs are essential. The role requires a Bachelor's degree in a related field, 5+ years of compliance experience, and FINRA registration or