Intermediate Compliance Analyst - Broker Dealer & Registered Investment Advisor (Hybrid)

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.* Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.* Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.* Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.* Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.* Analyze processes, services and products; provide ongoing guidance to ensure compliance with regulatory and statutory requirements.* Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.* Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms).* Provide guidance and support to business partners (e.g. Sales and Marketing) in creation of mandated product training.* Update and maintaining complete and accurate policies, procedures, compliance logs or files.* Assist team members with research and assigned tasks; provide training to supported teams.* Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.* Two years of regulatory, securities, or insurance compliance experience.* Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.* Securities and some advertising industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing. (Series 7, 24 and 65/66 preferred, or Series 6 & 26 OK).* Written and verbal communication skills.* Analytical and research skills.* Proficiency using MS Office tools.* The Salary for this position generally ranges between $65,000 - $75,000 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.* Pension Plan* 401k Match* Employee Stock Purchase Plan* Tuition Reimbursement* Disability Insurance* Medical Insurance* Dental Insurance* Vision Insurance* Employee Discounts* Career Training & Development Opportunities #J-18808-Ljbffr