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.

Responsibilities

  • Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
  • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
  • Analyze processes, services and products, and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
  • Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
  • Update and maintaining complete and accurate policies, procedures, compliance logs or files.
  • Assist team members with research and assigned tasks; provide training to supported teams.


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.
  • Securities and some advertising industry positions require comprehensive knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
  • Written and verbal communication skills.
  • Analytical and research skills.
  • Proficiency using MS Office tools.

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 of 10% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. 

Working Conditions 

  • This is a hybrid position requiring three days (Tuesday-Thursday) in office per week in one of our hub locations (Cedar Rapids, Baltimore, Philadelphia, or Denver). 
  • Relocation assistance will not be provided for this position

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.

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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 to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.