Senior Legal Analyst — Insurance & SEC Compliance

Transamerica

Cedar Rapids (IA)

Hybrid

USD 94,000 - 114,000

Full time

6 days ago

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Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Paid Time Off

Job summary

Transamerica is seeking a Senior Legal Support professional in Cedar Rapids, IA to support SEC-registered insurance products and related compliance matters. The role involves collaborating with internal Legal, Compliance, and Operations teams to maintain disclosures, respond to SEC staff comments, and assist with product registrations.

A bachelor’s degree and 10 years of SEC experience are required; strong research and communication skills are essential.

Qualifications

Bachelor’s degree in a business-related field or equivalent experience.
10 years’ experience with products registered with the SEC under the Investment Company Act of 1940 and/or the Securities Act of 1933.
Knowledge of financial services and annuity products.
Outstanding written and verbal communication skills.
Research and analysis skills to determine solutions for business needs.
Decision-making and problem-solving skills.
Organizational skills and the ability to manage competing priorities.
Proficiency using MS Office tools, legal research tools, and the SEC’s EDGAR website.

Responsibilities

Research and apply existing federal and state laws, rules, and regulations as they relate to insurance and annuities products registered with the SEC and become a trusted subject matter expert on these topics.
Work with internal Legal, Compliance, and Operations staff to support existing registered products, and fixed annuities, including consultation on policy interpretation, claims issues, escalated complaints, and complex operational matters.
Assist the Product Registration team and internal counsel in maintaining and appropriately updating required disclosures for existing products, including review of annual prospectus filings and other SEC filings as needed.
Serve as a trusted resource for business areas on matters relating to new product development and the registration of new, initial SEC registration statements.
Assist in resolving SEC staff comments and addressing outside counsel concerns relating to new products, product enhancements, and disclosure changes.
Stay informed about new and prospective changes in applicable law, including through participation in industry groups and through internal and external educational opportunities.
Communicate relevant changes in law to business areas and provide practical guidance to support effective implementation.
Manage and maintain documentation for Fund Participation Agreements and related legal contracts and amendments.
Work with internal Legal and Compliance staff to manage responses to market conduct and regulatory examinations.
Perform varied and complex legal and administrative tasks.
Lead or assist special projects as assigned.