Senior Compliance Analyst — FINRA/SEC Focus
Transamerica Agency Network
Transamerica is seeking a seasoned Compliance professional to strengthen and lead testing, monitoring, and regulatory oversight across a broker-dealer, registered investment adviser, and insurance agency. You will evaluate processes, supervise control activities, and drive improvements to align with SEC, FINRA, and state requirements. The role requires expertise in FINRA/SEC regulations, testing programs, and strong communication skills to report findings and coordinate examinations. #J-18808-Ljbffr Transamerica
Vacancy posted 2 days ago
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