Senior Compliance Surveillance Lead - Broker-Dealer

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

Benefits offered by this job

Pension Plan

401k Match

Medical Insurance

Paid Time Off

Job summary

Transamerica is seeking a Compliance Surveillance professional to independently manage complex compliance activities across securities, broker-dealer, and advisory functions. You will perform risk-based surveillance, research exceptions, and provide practical guidance with limited supervision.

The role requires 5+ years in regulatory compliance, strong knowledge of securities laws, and experience coordinating regulatory responses. Hybrid in-office role with travel as needed.

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 of experience supporting broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions.
• Strong knowledge of securities and/or advisory products and associated laws, regulations, regulatory expectations, firm policies, and compliance practices.
• Experience with regulatory examinations, complaints, surveillance, advertising review, branch inspections, supervisory controls, testing, monitoring, or issue remediation.
• Strong written and verbal communication skills, including the ability to document findings, summarize risks, explain recommendations, and advise business partners and management.

Responsibilities

• Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee and registered representative activity, including researching and evaluating exceptions to determine appropriate disposition, escalation, or corrective action.
• Develop and execute complex compliance monitoring, testing, reviews, risk-based assessments and surveillance using established standards and independent judgment.
• Analyze business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify risks, issues, trends, and control gaps.
• Coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests by gathering, reviewing, and validating information.
• Identify root causes, recurring issues, or emerging risks and recommend sustainable corrective actions or process enhancements.
• Contribute to development and execution of new or enhanced compliance programs, monitoring plans, testing programs, training, tools, and procedures.

Skills

Regulatory compliance knowledge

Securities knowledge

Communication skills

Analytical thinking

Problem solving

Education

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

Tools

Microsoft Office

Job description

Transamerica is seeking a Compliance Surveillance professional to independently manage complex compliance activities across securities, broker-dealer, and advisory functions. You will perform risk-based surveillance, research exceptions, and provide practical guidance with limited supervision.

The role requires 5+ years in regulatory compliance, strong knowledge of securities laws, and experience coordinating regulatory responses. Hybrid in-office role with travel as needed.