The Intermediate Compliance Analyst plays a crucial role in mitigating legal exposure and risk to the organization by enforcing company policies, procedures, and regulatory requirements. You'll have the opportunity to creatively flex your analytical, investigative, and problem-solving skills in various ways while working with some instruction or guidance with with applicable latitude for un-reviewed actions or decisions, and performs assignments with direction and guidance from management.

Responsibilities

  •  Collaborate across departments, divisions, and the company to perform oversight testing of procedures and internal controls. Participate in the ongoing execution of our compliance testing programs, including testing as required by SEC and FINRA rules and state insurance requirements.

  • Evaluate, document, and present results of testing.

  • Document written testing plans and compliance testing procedures.

  • Identify enhancements and remedial actions required to address compliance observations.

  • Contribute to the creation and implementation of compliance policies, procedures and training materials.

  • Evaluate internal and external requests for information and contribute to drafting appropriate responses.

  • Assist with the oversight of the Company's service providers by executing agreed-upon diligence as determined by the CCO and members of the Legal and Compliance department.

  • Perform analysis, identify trends, and follow up on opportunities for enhancement.

  • Provide training and guidance to colleagues and business partners regarding compliance obligations or changes in regulations and/or company procedures.

  • Stay abreast of changes in regulations and industry best practices to ensure ongoing compliance.

Qualifications

  • Bachelor’s degree in business, marketing, or a relevant field, or equivalent education and experience. 

  • Two years of experience with securities products, as well as retirement insurance products.

  • ·General knowledge of regulatory requirements such as the Investment Advisers Act, FINRA rules and/or state insurance requirements is a plus.

  • FINRA licensing is not required, but candidate can work toward completing (Series 7 & 24 or Series 6 & 26) during their career.

  • Good presentation skills with the ability to articulate clear ideas/strategies to multiple audiences

  • Organization and time management skills. Ability to effectively prioritize tasks, follow up, product consistently accurate work, meet strict deadlines.

  • Attention to detail, analytical, reasoning and problem solving sills

  • · A strong sense of integrity, behaving consistently with expressed values and ethical principles of Transamerica.

  • Must have the willingness to "roll up your sleeves" and take initiative in learning and applying new skills and regulations as well as building relationships.

The Salary for this position generally ranges between $62,000-$72,000 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.