Senior Compliance & Surveillance Manager

Transamerica; Denver (CO); Hybrid; USD 100,000 - 115,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Medical Insurance

Paid Time Off

Parental Leave

Job summary

Transamerica is seeking a Manager in Regulatory Compliance to lead surveillance and oversight across broker-dealer, registered investment adviser and insurance channels. You will shape analytical reviews, drive regulatory alignment, and partner with Supervisory and vendor teams to strengthen controls and reporting.

You will guide senior leaders on risk trends, support examinations, and mentor a team to deliver timely, well-documented reviews with strong governance and cross-functional engagement.

Qualifications

• Bachelor's degree or equivalent with experience in securities/insurance compliance is required.
• 5+ years in compliance, including leadership of programs or teams.

Responsibilities

• Lead surveillance programs and develop risk-based reviews across compliance areas.
• Interpret FINRA/SEC rules to design surveillance scenarios and controls.
• Oversee audits, regulatory inquiries, and remediation efforts.
• Report trends, findings, root causes, and remediation status to management.
• Collaborate with Supervision and third-party vendors on strategic initiatives.
• Coach and develop team members, ensuring quality and accountability.
• Coordinate with broker-dealer operations and governance functions.
• Support regulatory examinations and information requests as needed.
• Ensure alignment with company policies and sales practice standards.

Skills

Leadership

Analytical thinking

Regulatory knowledge

Communication

Education

Bachelor's degree in business, communications, finance or other relevant field

Tools

Microsoft Excel

FIS Global surveillance

Job description

Transamerica is seeking a Manager in Regulatory Compliance to lead surveillance and oversight across broker-dealer, registered investment adviser and insurance channels. You will shape analytical reviews, drive regulatory alignment, and partner with Supervisory and vendor teams to strengthen controls and reporting.

You will guide senior leaders on risk trends, support examinations, and mentor a team to deliver timely, well-documented reviews with strong governance and cross-functional engagement.