Senior Compliance Testing Specialist (Hybrid)

Transamerica Corporation; Philadelphia (Philadelphia County); Hybrid; USD 76,000 - 86,000; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

401k Match

Paid Time Off

Job summary

Transamerica Corporation is seeking a seasoned compliance professional to independently manage complex compliance activities across securities, broker-dealer, insurance, AML, and related regulatory functions. You will analyze risk, interpret laws, and advise business partners with limited supervision to strengthen our compliance program.

The role requires 5+ years in regulatory compliance and FINRA/SEC knowledge.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 5+ years of regulatory compliance, securities, financial services, risk management, or related experience.
• 2+ years supporting broker‑dealer, registered investment adviser, insurance, retirement, or investment compliance functions.
• FINRA Series7 and24 or Series6 and26 (dependent on broker‑dealer activities); or obtain within 6 months of job entry date
• 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
• 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
• Ability to manage complex assignments with minimal supervision and elevate significant risks or decisions appropriately

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.
• 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.
• Support business initiatives, regulatory changes, and enterprise projects by evaluating compliance impacts and recommending appropriate actions.
• May provide coaching, training, guidance, or knowledge sharing to less experienced team members.

Skills

Regulatory compliance

Securities compliance

Risk management

Internal audit

Communication

Documentation

Education

Bachelor’s degree

Tools

Microsoft Office

Compliance systems

Job description

Transamerica Corporation is seeking a seasoned compliance professional to independently manage complex compliance activities across securities, broker-dealer, insurance, AML, and related regulatory functions. You will analyze risk, interpret laws, and advise business partners with limited supervision to strengthen our compliance program.

The role requires 5+ years in regulatory compliance and FINRA/SEC knowledge.