Senior Compliance Strategist - Securities & AML

Transamerica; Cedar Rapids (IA); Hybrid; USD 75,000 - 85,000; Full time

Benefits offered by this job

Competitive Pay

Bonus for Eligible Employees

Benefits Package

Pension Plan

401k Match

Tuition Reimbursement

Disability Insurance

Medical Insurance

Dental Insurance

Vision Insurance

Employee Discounts

Career Training & Development

Health and Work/Life Balance Benefits

Paid Time Off starting at 160 hours

10 paid holidays per year

Wellness programs

Job summary

Transamerica is seeking a seasoned Regulatory Compliance professional in Cedar Rapids with 5+ years in securities and financial services. You will lead complex surveillance, reviews, and guidance for business partners, ensuring adherence to evolving regulations across multiple lines of business.

You will interface with regulatory bodies, coordinate examinations, and drive improvements while mentoring junior staff in a hybrid work setting.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 5+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.
• 2+ years supporting broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions.
• Strong knowledge of securities and/or advisory products and related laws, regulations, and firm policies.
• Experience with regulatory examinations, surveillance, or issue remediation.
• FINRA Series 7 and 24 or Series 6 and 26 (or obtain within 6 months).

Responsibilities

• Conduct risk-based surveillance of securities transactions, sales practices, and employee activity.
• Develop and execute complex compliance monitoring, testing, and reviews.
• Interpret laws and guidance to provide practical compliance guidance to partners.
• Coordinate responses to regulatory examinations and inquiries.
• Identify root causes and recommend corrective actions and process improvements.
• Mentor and coach less experienced team members.

Skills

Regulatory knowledge

Analytical thinking

Communication

Self-driven

Project coordination

Education

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

Tools

Microsoft Office

Compliance systems

Case management software

Job description

Transamerica is seeking a seasoned Regulatory Compliance professional in Cedar Rapids with 5+ years in securities and financial services. You will lead complex surveillance, reviews, and guidance for business partners, ensuring adherence to evolving regulations across multiple lines of business.

You will interface with regulatory bodies, coordinate examinations, and drive improvements while mentoring junior staff in a hybrid work setting.