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Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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 a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit www.transamerica.com.

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

Job Description

Responsibilities:

• Review current policies and procedures; identify and help to implement new and/or enhanced practices.
• Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
• Research 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 and 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. Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.
• Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
• Update and maintain complete and accurate policies, procedures, compliance logs or files.
• Assist team members with research and assigned tasks, and provide training to supported teams.

May assist with one or more of the following compliance functions:

• Analyze new legislation and create summaries regarding the course of compliance action for the departments
• Review and approve advertising material for products
• Analyze company responses to regulatory complaints and assist with completion.
• Manage and coordinate regulatory examinations.
• Legislative analysis of past, current and proposed regulations for performing continuous compliance reviews to maintain product integrity and a compliant product portfolio.
• Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations.
• Review provided information for completeness and accuracy.
• Assist in drafting responses to examiner inquiries.
• Assist in identifying root causes of adverse findings and suggest opportunities for enhancements.
• Work closely with CCO in management and coordination of applicable securities industry compliance program.
• Foster a culture of compliance to help prevent, detect, and correct violations of securities rules and regulations.
• Provide assistance to support and educate business partners, representatives and supervisors.
• Assist in compiling information for Regulatory filings such as the Form BD and Form ADV.
• Assist in managing internal and regulatory inquiries and investigations involving representatives.
• Assist in reviewing and responding to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels.
• Assist in periodic testing to ensure compliance with applicable regulations.
• Review and respond to complaints from consumers or regulators (e.g., state insurance department, FINRA, SEC, consumer)
• Work closely with internal business areas to investigate complaints and provide a reasonable resolution to issues.
• Identify root causes; suggest opportunities for enhancements.
• Compile complaint procedures and records in support of regulatory examination requests.
• Participate in team meetings and discussions of complaint cases.

Qualifications:

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
• Two years of regulatory, securities, or advertising 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 a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Working Conditions:

• Non-commuting Remote employees will not be assigned to report to a Company office location (although they may need to travel to a Company office upon request) and will perform their work remotely.
• Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.

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

Inclusion & Diversity

Giving Back

Transamerica’s Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.