Senior Compliance Testing Lead (Hybrid)

Transamerica; Philadelphia, Denver, Cedar Rapids (Philadelphia County, CO, IA); Hybrid; USD 76,000 - 86,000; Full time

Benefits offered by this job

Bonus for Eligible Employees

Pension Plan

401k Match

Job summary

Transamerica is looking for a Senior Registered Compliance Officer - Testing to lead complex compliance activities across securities, broker-dealer, RIA, AML and related functions. The role requires strong knowledge of SEC/FINRA rules, 5+ years of experience, and the ability to guide business partners with limited supervision.

The position is full-time, hybrid with in-office three days per week in Philadelphia, Denver, or Cedar Rapids, and offers a competitive salary plus bonus eligibility and a

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 SEC and FINRA rules and regulations regarding securities and/or advisory products and associated laws, regulations, regulatory expectations, firm policies, and compliance practices.

Responsibilities

• Develop and execute complex compliance monitoring, testing, reviews, and risk-based assessments 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.
• Interpret applicable laws, regulations, regulatory guidance, firm policies, and procedures to provide practical compliance guidance to business partners.
• Perform or oversee complex transaction monitoring, exception reporting, outside brokerage account surveillance activities, and AML reviews, including evaluation of exceptions, documentation of results, and escalation of potential compliance risks with recommended next steps.
• Document findings, recommendations, management responses, and supporting evidence in a complete and accurate manner.

Skills

Regulatory compliance

Securities

Risk management

Internal audit

Testing & monitoring

FINRA/SEC knowledge

Education

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

Job description

Transamerica is looking for a Senior Registered Compliance Officer - Testing to lead complex compliance activities across securities, broker-dealer, RIA, AML and related functions. The role requires strong knowledge of SEC/FINRA rules, 5+ years of experience, and the ability to guide business partners with limited supervision.

The position is full-time, hybrid with in-office three days per week in Philadelphia, Denver, or Cedar Rapids, and offers a competitive salary plus bonus eligibility and a