Transamerica Financial Advisors (TFA) is seeking an experienced Senior Manager, Compliance to help lead and strengthen our compliance program supporting our retail broker dealer and registered investment advisor (RIA) businesses. Reporting to the Chief Compliance Officer, this role is ideal for a hands-on compliance leader who brings deep regulatory expertise, strong judgment, and proven people leadership. Assist the Divisional Compliance Officer/Director, Compliance in supervising or managing multiple functions, activities and operations of the business units'/divisions' Compliance Departments. Prevent, detect and assist in resolving potential violations of state and federal laws and regulations and the rules of self-regulatory and industry ethical standards organizations.

Responsibilities

  • Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.

  • Lead advisory compliance for the RIA, including policies and procedures, Form ADV management, and regulatory filings (e.g., 13F, 13H).
  • Oversee broker‑dealer and RIA surveillance programs, including risk‑based transaction reviews and trend analysis.
  • Manage back‑end surveillance of securities activity and affiliated insurance business
  • Partner with Supervision and business leaders to investigate, escalate, and resolve potential compliance issues.
  • Monitor regulatory developments impacting the broker‑dealer, RIA, and insurance activities and guide implementation across the organization.
  • Lead, mentor, and develop compliance advisory and surveillance teams, fostering a strong culture of accountability and continuous improvement.
  • Support and drive the continuous improvement of team performance by tracking Key Performance Indicators, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
  • Develop and deliver compliance training for home‑office and field audiences.
  • Leverage compliance surveillance tools and emerging technologies to enhance risk identification and program effectiveness


Qualifications

  • Bachelor’s degree in business, accounting, or a related field.
  • 8+ years of compliance or regulatory experience in a retail broker‑dealer and RIA environment.
  • 3+ years of people leadership experience.
  • Strong working knowledge of SEC, FINRA, and state securities regulations.
  • Active Series 7, 24, and 66 licenses.
  • Excellent communication, analytical, research and problem‑solving skills.
  • Extensive experience with MS Office tools


Preferred Qualifications

  • Insurance license.
  • Experience in the insurance industry or with insurance products.
  • Experience with compliance surveillance tools or AI‑enabled research platforms (Co-Pilot, LexisNexis).
  • Familiarity with FIS or similar compliance systems.

Why TFA

At TFA, Compliance plays a strategic role in protecting clients and supporting business growth. This position offers meaningful visibility, leadership responsibility, and the opportunity to shape a sophisticated compliance program within a collaborative organization.


    Working Conditions

    • Hybrid with 3 days working onsite

    Compensation

    The salary for this position generally ranges between $120,000 - $145,000 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.

    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.