Lead Registered Compliance Officer - Anti-Money Laundering (Retirement) - Hybrid

Job Description Summary

Job Description

Responsibilities:

• Lead 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.

Qualifications:

• Bachelor’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 experience
• 4+ years of experience supporting AML, financial-crime, broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
• FINRA Series 7 and 24 or 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry date
• Extensive knowledge of AML laws, regulations, regulatory guidance, transaction monitoring practices, suspicious activity identification and escalation, related compliance controls
• Experience leading complex compliance reviews, regulatory responses, issue remediation, program enhancements, or cross-functional initiatives
• Experience leading AML supervisory controls, testing, monitoring, or issue remediation
• Advanced communication and influencing skills, including the ability to advise stakeholders, communicate complex risks and recommendations, and support informed decision-making
• Ability to work with significant independence and judgment while determining approach for complex work
• Proficiency using Microsoft Office tools and advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness

Preferred Qualifications:

• FINRA 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.

Compensation:

The 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 includingqualifications, 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 Companys discretion.

Working Conditions:

• This is a hybrid position requiring three days in office per week in one of our hub locations (Cedar Rapids, Denver or Philadelphia). Relocation assistance will not be provided for this position.
• May require occasional travel for team meetings, training, regulatory matters, or business partner support.

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.

Disclaimer:
Beware of fake job offers!

Weve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

• We will never request personal information such as ID or payment for equipment upfront.
• Official offers are sent via DocuSign following a verbal offernot through text or email.

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 in order 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 6een (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