Senior Compliance Surveillance Lead (Hybrid)

Transamerica Corporation; Iowa (LA); Hybrid; USD 90,000 - 100,000; Full time

Benefits offered by this job

Health insurance

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Dental Insurance

Vision Insurance

Paid Time Off

Job summary

Transamerica is seeking a Lead Compliance Surveillance Analyst to mitigate risk by overseeing surveillance across insurance and securities channels. The role conducts complex reviews, analyzes trends, and collaborates with partners to ensure compliance with regulatory requirements and company standards.

The position features a hybrid office environment with multiple U.S. locations and a comprehensive benefits package, reflecting our commitment to employee well-being and regulatory excellence.

Qualifications

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
• Five years of regulatory, securities, or advertising compliance experience.
• Securities and some advertising industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing.
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Responsibilities

• Review and evaluate policies, surveillance methodologies, monitoring controls, and risk management practices to identify opportunities for enhancement.
• Recommend and support the implement of process improvements, surveillance enhancements, and controls designed to mitigate agent oversight, conduct and sales practice risk.
• Conduct risk-based surveillance and monitoring activities to identify potential regulatory, compliance, supervisory, and business conduct concerns.
• Analyze agent, customer, policy/account and transaction data to detect patterns, trends and emerging risks related to sales and servicing practices to support compliance with applicable company standards regulatory requirements, and market conduct expectations.
• Lead and support the design, development, and testing, of new or enhanced surveillance scenarios, risk indicators, reporting, analytics, procedures, and enterprise-wide initiatives.
• Develop, analyze, produce, and present management reporting that summarizes surveillance activity, trends, findings, root causes, emerging risks, corrective actions recommendations for strengthening controls and improving compliance oversight.

Skills

Written and verbal communication

Analytical and research skills

MS Office proficiency

Education

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience

Job description

Transamerica is seeking a Lead Compliance Surveillance Analyst to mitigate risk by overseeing surveillance across insurance and securities channels. The role conducts complex reviews, analyzes trends, and collaborates with partners to ensure compliance with regulatory requirements and company standards.

The position features a hybrid office environment with multiple U.S. locations and a comprehensive benefits package, reflecting our commitment to employee well-being and regulatory excellence.