Senior Registered Compliance Officer - Testing (Hybrid)

Job Family
Regulatory Compliance

Job Description Summary
This role independently manages complex compliance activities and contributes to the effectiveness of a broad, evolving compliance program across securities, broker-dealer, registered investment adviser, insurance, anti-money laundering (AML), surveillance, and related financial services functions and regulatory requirements. This role performs complex analysis, identifies issues and trends, recommends practical solutions, and provides guidance to business partners with limited supervision.

Job Description

Responsibilities:
• Develop and execute complex compliance monitoring, testing, reviews, and risk-based assessments using established standards and independent judgment.
• Analyze business processes, policies, procedures, communications, transactions, complaints, disclosures, or other assigned activity to identify risks, issues, trends, and control gaps.
• Interpret applicable laws, regulations, regulatory guidance, firm policies, and procedures to provide practical compliance guidance to business partners.
• Perform or oversee complex transaction monitoring, exception reporting, outside brokerage account surveillance activities, and AML reviews, including evaluation of exceptions, documentation of results, and escalation of potential compliance risks with recommended next steps.
• Document findings, recommendations, management responses, and supporting evidence in a complete and accurate manner.
• Coordinate responses to regulatory examinations, regulatory inquiries, internal reviews, audits, investigations, or information requests by gathering, reviewing, and validating information.
• Identify root causes, recurring issues, or emerging risks and recommend sustainable corrective actions or process enhancements.
• Contribute to development and execution of new or enhanced compliance programs, monitoring plans, testing programs, training, tools, and procedures.
• Support business initiatives, regulatory changes, and enterprise projects by evaluating compliance impacts and recommending appropriate actions.
• May provide coaching, training, guidance, or knowledge sharing to less experienced team members.

Qualifications:
• Bachelor's degree in business, legal studies, risk management, compliance or related field
• 5+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
• 2+ years of experience supporting broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
• FINRA Series 7 and 24 or Series 6 and 26 (dependent on broker-dealer activities); or obtain within 6 months of job entry date
• Strong knowledge of SEC and FINRA rules and regulations regarding securities and/or advisory products and associated laws, regulations, regulatory expectations, firm policies, and compliance practices
• Experience with regulatory examinations, complaints, surveillance, advertising review, branch inspections, supervisory controls, testing, monitoring, or issue remediation
• Experience performing complex research, analysis, documentation, and issue resolution
• Strong written and verbal communication skills, including the ability to document findings, summarize risks, explain recommendations, and advise business partners and management
• Ability to manage complex assignments with minimal supervision and escalate significant risks or decisions appropriately
• Proficiency using Microsoft Office tools and ability to effectively use compliance, workflow, surveillance, case management, reporting, or document management systems

Preferred Qualifications:
• FINRA Series 65 or 66 (dependent on investment advisor support), or other FINRA registrations based on assigned responsibilities

Compensation:

The Salary for this position generally ranges between $76,000 - $86,000 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.

Working Conditions:

• This is a hybrid position requiring three days in office per week in one of our hub locations (Philadelphia, Cedar Rapids or Denver). 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!

We've 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 offer-not 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 - 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