Senior Advisory Compliance Lead (Investment Advisers)
Transamerica
Transamerica in Baltimore is seeking a Senior Compliance professional to strengthen the firm’s advisory compliance program. You will apply knowledge of the Investment Advisers Act of 1940, fiduciary obligations, and SEC rules to supervise regulatory oversight and risk management across advisory products and services. You will lead regulatory initiatives, coordinate filings (Form ADV, 13F/13H), train staff, and collaborate with Legal, Operations, Product, and other teams in a hybrid work #J-18808-Ljbffr Transamerica
Vacancy posted 2 days ago
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