Senior Director, Compliance Strategy & Regulatory Risk (Hybrid)

Transamerica; Cedar Rapids (IA); Hybrid; USD 165,000 - 190,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Job summary

Transamerica in Cedar Rapids, IA, seeks a senior Compliance leader to oversee Broker Dealer and Retirement compliance programs. You will guide a team, interact with regulators, and ensure adherence to FINRA/SEC rules while shaping enterprise risk and program enhancements.

The role demands deep regulatory knowledge, strong leadership, and collaborative influence across Legal, Risk, Audit, Operations, and Sales. Hybrid work requires three days in office weekly.

Qualifications

• Bachelor's degree or equivalent education and experience required.
• Minimum 12 years of regulatory compliance, securities, financial services, risk management, internal audit, testing, or related experience.
• Current FINRA Series 7 and 24 or Series 6 and 26 preferred.

Responsibilities

• Set strategic direction for assigned compliance functions while promoting a strong culture of compliance and proactive risk identification.
• Serve as senior Compliance contact for regulators, auditors, examiners, and management on significant regulatory matters.
• Lead, coach, and assess compliance professionals, including priorities and resource allocation.
• Advise on complex compliance obligations, including fiduciary requirements and third-party oversight.
• Partner with Legal, Risk, Internal Audit, Operations, Supervision, Product, and Sales leadership on enterprise risk and program matters.
• Use data, surveillance tools, and reporting to strengthen monitoring and governance.
• Oversee risk-based monitoring, testing, and regulatory change implementation.
• Prepare and deliver compliance reporting for senior management and boards.
• Lead complex projects and enterprise initiatives in compliance.

Skills

Leadership

Cross-functional collaboration

Regulatory change management

Executive communication

Risk awareness

Education

Bachelor's degree in business, finance, pre-law, or equivalent

FINRA Series 7 and 24 or Series 6 and 26

Job description

Transamerica in Cedar Rapids, IA, seeks a senior Compliance leader to oversee Broker Dealer and Retirement compliance programs. You will guide a team, interact with regulators, and ensure adherence to FINRA/SEC rules while shaping enterprise risk and program enhancements.

The role demands deep regulatory knowledge, strong leadership, and collaborative influence across Legal, Risk, Audit, Operations, and Sales. Hybrid work requires three days in office weekly.