Strategic Compliance Surveillance Lead

Transamerica; Philadelphia (Philadelphia County); Hybrid; USD 90,000 - 100,000; Full time

Benefits offered by this job

Bonus for Eligible Employees

Paid Time Off

Parental Leave

Adoption Assistance

Employee Resource Groups

Job summary

Transamerica in Philadelphia seeks a Compliance professional to mitigate legal, regulatory, operational, and reputational risk by supporting oversight and surveillance across insurance and securities channels.

This role conducts risk-based surveillance, analyzes trends, and collaborates with partners to ensure adherence to regulatory requirements, company policies, and market conduct expectations with a hybrid work setup (in-office Tuesday–Thursday).

Qualifications

• Bachelor’s degree or equivalent education and experience.
• Five years of regulatory, securities, or advertising compliance experience.
• Knowledge of securities laws and FINRA licensing where applicable.
• Excellent written and verbal communication and analytical skills.

Responsibilities

• Review policies, surveillance methodologies, and risk controls to identify enhancements.
• Develop and test surveillance scenarios, indicators, and reporting.
• Analyze data to detect patterns and emerging risks related to sales and servicing.
• Support regulatory examinations, audits, and information requests; assist remediation efforts.

Skills

Written and verbal communication

Analytical and research skills

MS Office proficiency

Education

Bachelor's degree in business, marketing, pre-law or other relevant field

Job description

Transamerica in Philadelphia seeks a Compliance professional to mitigate legal, regulatory, operational, and reputational risk by supporting oversight and surveillance across insurance and securities channels.

This role conducts risk-based surveillance, analyzes trends, and collaborates with partners to ensure adherence to regulatory requirements, company policies, and market conduct expectations with a hybrid work setup (in-office Tuesday–Thursday).