Senior Compliance Manager - Surveillance & Risk (Hybrid)

Transamerica; Philadelphia (Philadelphia County); Hybrid; USD 100,000 - 115,000; Full time

Benefits offered by this job

Health Insurance

401k Match

Employee Stock Purchase Plan

Paid Time Off

Job summary

Transamerica, a leading financial services company, seeks a Manager in Regulatory Compliance to lead surveillance, risk identification, and reporting across broker-dealer, RIA, and insurance channels. You will drive program controls, supervisor collaboration, and vendor partnerships in a hybrid Philadelphia-area role.

You will interpret complex regulations, develop robust analytics, and guide a team to ensure adherence to laws and company policies while communicating findings to senior

Qualifications

• Bachelor's degree in business, communications, finance or other relevant field, or equivalent and experience.
• 5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.
• 10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.
• FINRA Series 7 and 24, or other FINRA registrations required by assigned responsibilities.
• Extensive knowledge and understanding of securities and advisory products, including applicable regulatory, supervisory, and sales practice requirements.
• Strong leadership, judgment, critical thinking, analytical, investigative, and decision-making skills, with the ability to manage competing priorities and guide others through complex issues.
• Ability to interpret regulatory requirements and company policies, translate requirements into practical program expectations, and drive implementation through communication, training, coaching, and collaboration.
• Excellent written and verbal communication skills, including the ability to present complex issues, trends, risks, and recommendations to senior leaders, business partners, auditors, and regulators.

Responsibilities

• Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk.
• Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls.
• Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards.
• Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations.
• Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments.
• Collaborate with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls.
• Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements.
• Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners.
• Lead, coach, and develop team members by setting expectations, providing guidance and feedback, supporting quality assurance, and fostering accountability and continuous improvement.

Skills

FINRA regulations

Leadership

Analytical skills

Pivot tables (Excel)

Regulatory reporting

Communication

Data analytics

Education

Bachelor's degree in business/finance/related field

Tools

FIS Global surveillance software

Microsoft Excel

Job description

Transamerica, a leading financial services company, seeks a Manager in Regulatory Compliance to lead surveillance, risk identification, and reporting across broker-dealer, RIA, and insurance channels. You will drive program controls, supervisor collaboration, and vendor partnerships in a hybrid Philadelphia-area role.

You will interpret complex regulations, develop robust analytics, and guide a team to ensure adherence to laws and company policies while communicating findings to senior