Senior SEC Insurance Compliance Analyst

Transamerica; Denver (CO); Hybrid; USD 94,000 - 114,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Tuition Reimbursement

Medical Insurance

Job summary

Transamerica in Denver seeks an experienced Legal Support professional to help with SEC-registered insurance and annuity products. You will advise on policy interpretation, disclosures, and regulatory matters across product lines.

The role requires a bachelor’s degree in a business field, 10 years’ SEC experience, and strong communication, research, and organizational skills. A hybrid in-office arrangement is available with the team.

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 related to insurance and annuities products registered with the SEC.
• Support registered products and fixed annuities including policy interpretation and claims issues.
• Assist in maintaining disclosures for existing products including SEC filings.
• Serve as a trusted resource for new product development and SEC registration statements.
• Help resolve SEC staff comments and address outside counsel concerns.
• Stay informed about changes in applicable law and participate in industry groups.
• Communicate changes in law to business areas with practical guidance.
• Manage documentation for Fund Participation Agreements and related contracts.
• Coordinate responses to regulatory examinations with Legal and Compliance.
• Perform varied and complex legal and administrative tasks.

Skills

Communication skills

Research and analysis

Decision-making

Organizational skills

Problem-solving

Education

Bachelor's degree in business-related field or equivalent experience

10 years’ experience with SEC-registered products

Tools

MS Office

Legal research tools

SEC EDGAR website

Job description

Transamerica in Denver seeks an experienced Legal Support professional to help with SEC-registered insurance and annuity products. You will advise on policy interpretation, disclosures, and regulatory matters across product lines.

The role requires a bachelor’s degree in a business field, 10 years’ SEC experience, and strong communication, research, and organizational skills. A hybrid in-office arrangement is available with the team.