This role is responsible for supporting legal and compliance functions relating to insurance products registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Company Act of 1940 and/or the Securities Act of 1933. This role will also provide support for policy owner services and claims administration legal matters related to annuity products.

Responsibilities:

  • Research and apply existing federal and state laws, rules, and regulations as they relate to insurance and annuities products registered with the SEC and become a trusted subject matter expert on these topics.

  • Work with internal Legal, Compliance, and Operations staff to support existing registered products, and fixed annuities, including consultation on policy interpretation, claims issues, escalated complaints, and complex operational matters.

  • Assist the Product Registration team and internal counsel in maintaining and appropriately updating required disclosures for existing products, including review of annual prospectus filings and other SEC filings as needed.

  • Serve as a trusted resource for business areas on matters relating to new product development and the registration of new, initial SEC registration statements.

  • Assist in resolving SEC staff comments and addressing outside counsel concerns relating to new products, product enhancements, and disclosure changes.

  • Stay informed about new and prospective changes in applicable law, including through participation in industry groups and through internal and external educational opportunities.

  • Communicate relevant changes in law to business areas and provide practical guidance to support effective implementation.

  • Manage and maintain documentation for Fund Participation Agreements and related legal contracts and amendments.

  • Work with internal Legal and Compliance staff to manage responses to market conduct and regulatory examinations.

  • Perform varied and complex legal and administrative tasks.

  • Lead or assist special projects as assigned.


Qualifications:

  • Bachelor’s degree in a business-related field or equivalent experience.

  • 10 years’ experience with products registered with the SEC under the Investment Company Act of 1940 and/or the Securities Act of 1933.

  • Knowledge of financial services and annuity products.

  • Outstanding written and verbal communication skills.

  • Research and analysis skills to determine solutions for business needs.

  • Decision-making and problem-solving skills.

  • Organizational skills and the ability to manage competing priorities.

  • Proficiency using MS Office tools, legal research tools, and the SEC’s EDGAR website.


Preferred Qualifications:

  • Experience with a variety of investment products or insurance products, specifically variable annuity products and securities-regulated financial products.

  • Paralegal and/or legal analyst experience.

  • Proficiency using legal research platforms such as Lexis, Westlaw, or similar tools.

Working Conditions:

  • Hybrid office environment: 3 days in office (Tues/Wed/Thurs)

  • Locations: Denver, Cedar Rapids, Baltimore, Philadelphia

Compensation:

  • The Salary for this position generally ranges between $94,000 - $114,000 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.