Senior Compliance & Supervision Executive

Transamerica Corporation; Denver (CO); On-site; USD 70,000 - 85,000; Full time

Benefits offered by this job

Health insurance

Tuition Reimbursement

Paid time off

Job summary

Transamerica in Denver seeks a Regulatory Compliance professional to oversee suitability reviews and supervise registered representatives. You will ensure adherence to regulatory standards and internal controls while supporting business objectives.

The role includes conducting account reviews, preapproving complex products, delivering training, and assisting with licensing, audits, and OSJ management. Strong FINRA/SEC/DOL knowledge is required.

Qualifications

• Five years of suitability/best interest review experience or investment sales supervision.
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Strong written and verbal communication skills.
• Attention to detail and analytical mindset.

Responsibilities

• Conduct suitability reviews of new business and oversee compliance for registered representatives.
• Perform account reviews for client’s best interest and preapprove complex products.
• Provide compliance training and guidance to staff.
• Manage OSJ files for RIA, broker/dealer and insurance agency.
• Assist with licensing and registration issues and regulatory audits.

Skills

FINRA Licenses

Regulatory Knowledge

Securities Regulations

Communication Skills

MS Office

Education

Bachelor’s degree in finance or business

Job description

Transamerica in Denver seeks a Regulatory Compliance professional to oversee suitability reviews and supervise registered representatives. You will ensure adherence to regulatory standards and internal controls while supporting business objectives.

The role includes conducting account reviews, preapproving complex products, delivering training, and assisting with licensing, audits, and OSJ management. Strong FINRA/SEC/DOL knowledge is required.