Lead Registered Compliance Officer - Anti-Money Laundering

Compliance Anti-Money Laundering Team LeadAt Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.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.Job Description SummaryAs a key member of the Compliance Department's Anti-Money Laundering (AML) team, this individual leads highly complex AML compliance activities supporting the firm's broker-dealer, registered investment adviser and affiliated insurance agency and serves as a subject matter resource on AML regulations, transaction monitoring, investigations, and financial-crime risk management. This role provides technical leadership by guiding complex regulatory interpretation, advising stakeholders, influencing risk mitigation strategies, and driving program or process enhancements. This role leads highly complex compliance work and serves as a subject matter resource across securities, broker-dealer, registered investment adviser, insurance, anti-money laundering (AML), surveillance, and related financial services functions and regulatory requirements. This role provides technical leadership by guiding complex regulatory interpretation, advising stakeholders, influencing risk mitigation strategies, and driving program or process enhancements.Job DescriptionResponsibilitiesLead complex compliance monitoring, testing, reviews, risk-based assessments, and control evaluations across assigned securities or regulated compliance functions.Evaluate complex business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify significant risks, trends, and control gaps.Guide interpretation of applicable laws, regulations, regulatory guidance, firm policies, and procedures and advise stakeholders on practical application.Lead complex AML reviews, including transaction monitoring, exception reporting, investigations, escalations, and assessment of trends, potential suspicious activity, compliance risks, and related program or control enhancements.Lead or coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests.Evaluate findings, root causes, corrective action plans, recurring issues, and remediation strategies to support sustainable control improvements.Serve as an AML subject matter resource to business partners, compliance stakeholders, and management on complex AML requirements, financial-crime risks, and practical application.Influence AML remediation strategy, control design, policy updates, training, tools, procedures, and implementation decisions to strengthen compliance outcomes.Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, or enterprise initiatives.Provide informal leadership, coaching, training, technical guidance, quality review support, and knowledge sharing to team members and business partners.QualificationsBachelor's degree in business, legal studies, risk management, compliance or related field.7+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functionsFINRA Series 7 and 24 or 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry dateExtensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controlsExperience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiativesExperience leading AML supervisory controls, testing, monitoring, or issue remediationAdvanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-makingAbility to work with significant independence and judgment while determining approach for complex workProficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectivenessPreferred QualificationsFINRA Series 65 or 66 (dependent on investment advisor support), or other FINRA registrations based on assigned responsibilities.CAMS, CFCS, or another relevant AML of financial-crime compliance certification.Working Conditions:Office environment - Hybrid (Tuesday, Wednesday, Thursday in office)Locations: Philadelphia and Cedar RapidsCompensationThe Salary for this position generally ranges between $95,000-105,000 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.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.May require occasional travel for team meetings, training, regulatory matters, or business partner support.What We OfferFor eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.Compensation BenefitsCompetitive PayBonus for Eligible EmployeesBenefits PackagePension Plan401k MatchEmployee Stock Purchase PlanTuition ReimbursementDisability InsuranceMedical InsuranceDental InsuranceVision InsuranceEmployee DiscountsCareer Training & Development OpportunitiesHealth and Work/Life Balance BenefitsPaid 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 DollarsParental 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 AssistanceEmployee Assistance ProgramBack-Up Care ProgramPTO for Volunteer HoursEmployee Matching Gifts ProgramEmployee Resource GroupsInclusion and Diversity ProgramsEmployee Recognition ProgramReferral Bonus ProgramsInclusion & DiversityWe 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