Direct the day-to-day Advertising Compliance operations for the WFG & TFA organizations. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency regarding the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Responsibilities:

  • Establish and maintain departmental policies and procedures.

  • Review complex marketing material ensuring adherence to firm policy and regulatory standards.

  • Manage a team of compliance analysts, providing ongoing training and support.

  • Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.

  • Foster strong vendor relationships with advertising related vendors supporting firm tools.

  • Develop and provide training to WFG and TFA Financial Professionals.

  • Provide mentorship and assist in analyzing the impact of regulatory changes related to Advertising Compliance.

  • Handle matters of escalation, supporting and developing team members in the process.

  • Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.


Qualifications:

  • Bachelor’s degree

  • A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance

  • 1 year of managerial experience

  • FINRA Series 7/24 or obtained within 6 months of employment

  • Excellent written and verbal communication skills

  • Advanced analytical skills, interpretive, organizational and negotiation skills

Preferred Qualifications:

  • FINRA Series 65/66

Working Conditions:

  • Hybrid office environment (3 days a week in office): Baltimore/Cedar Rapids/Denver/Philadelphia

Compensation:

  • The Salary for this position generally ranges between $100,000 - $110,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

  • Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

#LI-BD1

This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation ito perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

Disclaimer:
Beware of fake job offers!

We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

  • We will never request personal information such as ID or payment for equipment upfront.

  • Official offers are sent via DocuSign following a verbal offer—not through text or email.