Senior Director, Compliance - Broker Dealer & RIA

Compliance Oversight Leader

This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer to execute and enhance the compliance program. The role supports retirement, advisory, brokerage, managed accounts, and related investment products and requires deep FINRA/SEC expertise, proven compliance program leadership, and the ability to influence senior business leaders.

Responsibilities

• Set the strategic direction for assigned compliance functions while promoting a strong culture of compliance, ethical conduct, accountability, and proactive risk identification.
• Serve as a senior Compliance contact for regulators, auditors, examiners, internal control partners, business leaders, and management on significant regulatory and compliance matters.
• Lead, develop, coach, and assess compliance professionals, including setting priorities, allocating resources, providing technical guidance, and ensuring high-quality execution.
• Advise on complex compliance obligations, including conflicts of interest, fiduciary and best interest requirements, sales practices, advertising and marketing review, compensation practices, disclosures, and third-party oversight.
• Partner with Legal, Risk, Internal Audit, Operations, Supervision, Product, and Sales leadership on enterprise risk, control, training, and compliance program matters.
• Use data, technology, surveillance tools, metrics, and reporting to strengthen compliance monitoring, issue identification, management reporting, and program oversight.
• Oversee risk-based compliance monitoring, testing, assessments, control evaluations, regulatory change implementation, risk mitigation, remediation planning, policy development, and process improvements.
• Prepare and deliver compliance reporting for senior management, governance committees, boards, and other oversight forums.
• Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, and enterprise initiatives.

Qualifications

• Bachelor's degree in business, finance, pre-law, or other relevant field, or equivalent education and experience.
• 12 years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.
• Current FINRA Series 7 and 24 or Series 6 and 26
• Proven ability to lead teams and cross-functional stakeholders through regulatory change, transformation, control enhancements, remediation, and enterprise initiatives.
• Executive-level communication, influence, and judgment to advise senior leaders and translate complex regulatory risks into practical business recommendations.

Preferred Qualifications

• Senior-level leadership or oversight of dual-registrant broker-dealer/RIA compliance programs, including governance, supervisory controls, regulatory change, and program effectiveness.
• Expert knowledge of securities laws and compliance requirements, including Reg BI, fiduciary obligations, Form ADV, marketing rules, books and records, supervision, conflicts, and control frameworks.
• Broad product expertise across retirement solutions, managed accounts, mutual funds, annuities, advisory platforms, brokerage products, and related investment services.
• Advanced use of compliance systems, data, reporting, workflow tools, and Microsoft Office to support oversight, executive reporting, and program management.

Working Conditions

• Hybrid Office Environment

Compensation

• The Salary for this position generally ranges between $165,000 - $190,000 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.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

This is a hybrid position requiring three days in office per week in one of our hub locations. Relocation assistance will not be provided for this position.

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.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica's Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. ?

* As of December 31, 2023