Help mitigate legal and regulatory risk exposure to the organization by enforcing company policies, procedures and regulatory requirements as part of their review of advertising pieces submitted by financial professionals and home office personnel. This person should possess the ability to apply broad knowledge of concepts and principles and perform assignments with minimal instruction or guidance while recognizing when to escalate.

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:

  • Review and approve company, product, and producer advertising materials in accordance with company guidelines and applicable state/federal rules and regulations.

  • Review advertising material submitted by financial professionals; ensuring uniform application of departmental and regulatory policies.

  • Monitor and review social media and web content published or maintained by financial professionals and assist in the remediation of any violations discovered.

  • Provide guidance and support to business partners (e.g., Sales and Marketing) in their creation of business content and work to identify possible solutions to accomplish their advertising goals while mitigating risk.

  • Update and maintain complete and accurate compliance logs or files to aid in reporting to senior leadership and regulators. With minimal supervision, perform analysis, identify trends, and follow up on opportunities for enhancement.

  • Assist team members with research and assigned tasks; provide training to supported teams and contribute to the development of new and/or enhanced compliance programs.

  • Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.


Qualifications:

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience

  • Four years of regulatory, securities, or advertising compliance experience

  • Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications

  • FINRA Series 6 & 26

  • Excellent written and verbal communication skills

  • Analytical and research skills

  • Proficiency using MS Office tools


Preferred Qualifications:

  • FINRA Series 7 & 24

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 $75,000 - $85,000 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.