Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with minimal instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with minimal direction and guidance from management.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

Responsibilities:

  • Develop, update, and maintain current policies and procedures.

  • Review and approve ethics and conflict of interest disclosures 

  • Provide guidance and support to employees, business partners and team members.

  • Participate in the development and delivery of training programs to educate employees on ethics standards and conflicts of interest protocols.

  • Identify process improvement opportunities and assist with implementing best practices within compliance and ethics functions.

  • Work with business partners to resolve compliance cases and contribute to solutions.

  • Monitor regulatory changes and help update internal processes to maintain ongoing compliance.

  • Compliance information for the preparation of responses to auditors and state/federal regulators.

  • Contribute to preparing reports for management on ethics and compliance activities.

  • Manage, oversee and analyze reports from third parties (e.g., software vendors)

  • Assist team members with research and assigned tasks; provide training to supported teams.

  • Ensure confidentiality and protect the integrity of sensitive information in all compliance activities.

Qualifications:

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

  • Four years of regulatory, securities, or ethics experience, preferably with FINRA or SEC-regulated companies

  • Series 7 & 24 licenses or the ability to obtain both within 6 months

  • Written and verbal communication skills.

  • Analytical and research skills.

  • Proficiency using MS Office tools.


Preferred Qualifications:

  • Experience with data analytics software such as Power BI preferred

Working Conditions:

  • Hybrid office environment: 3 days in office (Cedar Rapids, Denver, Philadelphia)

Compensation:

  • The Salary for this position generally ranges between $79,000 - $89,000 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 in order to 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.