Strategic Compliance Surveillance Lead

Transamerica; Cedar Rapids (IA); Hybrid; USD 90,000 - 100,000; Full time

Benefits offered by this job

Bonus for Eligible Employees

Paid Time Off (160 hours)

Parental Leave

Employee Assistance Program

Job summary

Transamerica in Cedar Rapids, IA is seeking a Regulatory Compliance professional to support oversight and surveillance across insurance and securities channels. You will review policies, develop surveillance scenarios, and analyze data to identify regulatory risks and ensure adherence to company standards.

The role involves leading complex reviews, producing management reports, and supporting regulatory examinations, audits, and remediation efforts to strengthen the compliance program, while

Qualifications

• Bachelor’s degree in business, marketing, pre-law or related field, or equivalent education and experience.
• Five years of regulatory, securities, or advertising compliance experience.
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Responsibilities

• Review and evaluate existing policies, procedures, surveillance methodologies, monitoring controls, and risk management practices to identify opportunities for enhancement.
• Recommend and support the implement of process improvements, surveillance enhancements, and controls designed to mitigate agent oversight, conduct and sales practice risk.
• Conduct risk-based surveillance and monitoring activities to identify potential regulatory, compliance, supervisory, and business conduct concerns. Analyze agent, customer, policy/account and transaction data to detect patterns, trends and emerging risks related to sales and servicing practices to support compliance with applicable company standards regulatory requirements, and market conduct expectations.
• Lead and support the design, development, and testing, of new or enhanced surveillance scenarios, risk indicators, reporting, analytics, procedures, and enterprise-wide initiatives.
• Develop, analyze, produce, and present management reporting that summarizes surveillance activity, trends, findings, root causes, emerging risks, corrective actions recommendations for strengthening controls and improving compliance oversight.
• Support regulatory examinations, audits, inquiries, internal reviews, and information requests by gathering documentation, preparing analyses, coordinating responses, and assisting with remediation efforts to address identified findings and strengthen control environments.
• Proactively contributes to departmental initiatives, quality assurance reviews, process optimization efforts, and continuous improvement activities designed to enhance the effectiveness, efficiency, and overall maturity of the compliance surveillance program.

Skills

Written and verbal communication

Analytical and research

MS Office proficiency

Education

Bachelor’s degree in business, marketing, pre-law or related field

Job description

Transamerica in Cedar Rapids, IA is seeking a Regulatory Compliance professional to support oversight and surveillance across insurance and securities channels. You will review policies, develop surveillance scenarios, and analyze data to identify regulatory risks and ensure adherence to company standards.

The role involves leading complex reviews, producing management reports, and supporting regulatory examinations, audits, and remediation efforts to strengthen the compliance program, while