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Compliance Director - Investment Advisor Broker Dealer
Transamerica US
Denver, CO, United States
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Job Family
Compliance - General
Job Description Summary
Assist Compliance Officer, Business Unit General Counsel or Assistant General Counsel in ensuring, maintaining and monitoring the division's' compliance with applicable federal and state legal requirements, regulations and the rules of self-regulatory and industry ethical standards organizations and Company/Division Compliance Policies.
Responsibilities
• Manages one or more of the division's Compliance functions (e.g. suitability, advertising, complaints, fraud) in one or multiple locations with minimal supervision.
• Develops and assists in the preparation of reports for the Divisional Compliance Officer or Division General Counsel and/or corporate management concerning Compliance and Market Conduct issues and activities.
• Assist the Compliance Officer and/or appropriate Operational Risk Management in assessing the division’s Compliance risks and prepare such reports to division and Corporate management as may be appropriate concerning such risks.
• Directs and assigns projects and provides guidance to Senior Managers, Managers and other Compliance staff, as appropriate, to improve the efficiency of the department and of the division's Compliance procedures.
• Develops and/or manages departmental budgets for the division's Compliance operations.
• Manages highly complex Compliance matters with minimal supervision.
• Develops, maintains and updates Compliance policies and procedures for multiple functions and/or locations.
• Recommends corrective action or revisions to the divisions' policies and procedures based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations and/or industry trends as appropriate.
• Works with multiple functions, units or locations of the division/business unit to develop cost-effective and common solutions to achieve regulatory compliance on a division-wide basis.
• Represents the company on industry committees regarding various regulatory issues.
• Assist in evaluating overall Compliance Risk factors.
• Assists the legal department with regulatory examinations, corporate audits, and Internal audits.
Qualifications
Bachelor’s degree required. Appropriate FINRA securities and/or state life insurance licenses may be required, as appropriate. 8 or more years of insurance and/or securities experience required, with at least 1 year experience in compliance or internal audit functions at a supervisory or management level.
Preferred Qualifications
Law degree, CLU, FLMI or legal assistant degree is a plus. Excellent oral and written communication skills. Strong project management skills. Excellent interpersonal skills. Provide leadership in achieving project goals. Advanced understanding of the insurance and/or securities laws and the impact on company operations.
Working Conditions
Normal office environment utilizing Microsoft office products.
Why Work for Us
Total Rewards at Transamerica: It’s more than a paycheck.
Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mind… to help you live your best life, grow personally and professionally - and feel valued for the work you do.
Learn more about our Total Rewards Package.
Equal Opportunity Employer:
Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.
AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.
Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies.
Ontario Applicants:
Our Company is committed to providing accessibility to those with disabilities in a manner that is consistent with the principles of independence, dignity, integration and equality of opportunity, that is in compliance with the Accessibility for Ontarians with Disabilities Act 2005 ("AODA").