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Surveillance Senior Compliance Analyst

Work From Home, USA

Job Family

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 and procedures as well as to perform compliance functions, surveillance of business, other risk-based reviews, and assist with testing related to the BD and RIA annual 3120 and 206(4)-7 obligations. Possesses and applies broad knowledge of concepts and principles; works independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.

Job Description

Responsibilities

  • Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices.

  • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.

  • Review and analyze trades and trade data for potential risks/patterns of potential misconduct, trends and/or improper processing. …

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