Senior Compliance Surveillance Manager

Transamerica

Baltimore (MD)

Hybrid

USD 100,000 - 115,000

Full time

14 days+

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Benefits offered by this job

Pension Plan

401k Match

Medical Insurance

Dental Insurance

Vision Insurance

Tuition Reimbursement

Job summary

Transamerica in the United States seeks a Manager in Regulatory Compliance to lead surveillance and oversight across broker-dealer, registered investment adviser, and insurance channels. You will drive risk-based reviews and provide strategic direction.

This role requires strong leadership, ability to interpret FINRA and SEC rules, and collaboration with cross-functional partners. You will coach staff, report findings to management, and support regulatory examinations.

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.

Responsibilities

Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes.
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.