Intermediate Compliance Analyst

Sorry, this vacancy has expired. 

Full time
Compliance
Duluth

Transamerica has been helping people feel better about the future for more than 100 years, and we’re proud of the trust we’ve earned. But we believe our responsibility goes beyond insurance, investments, and retirement accounts. We’re also in the business of helping people improve their financial and personal well-being, so they can add more years to their lives, and more life to their years.

What You Will Do: As part of Transamerica’s team you will help mitigate legal exposure/risk to the organization by enforcing company policies, procedures as well as perform compliance functions, surveillance of business, monitoring of customer complaints, etc. 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.

What Success Looks Like:

  • 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.
  • Research, analyze and interpret 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. With minimum supervision perform analysis, identify trends and follow up on opportunities for  enhancement.
  • Manage, oversee and analyze reports from third-parties (e.g., product providers, sub advisors, audit firms, etc.)
  • Perform surveillance functions to ensure compliance with current state and/or federal regulations.
  • Review and respond to complaints received from customers or regulators (e.g., state insurance department, FINRA, SEC, customer).
  • Identify root causes of customer complaints; suggest opportunities for enhancements.
  • Compile complaint procedures and records in support of regulatory examination requests and ensure timely regulatory disclosure of complaints is made if applicable.
  • 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.

What You Need:

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
  • A minimum of 2 years insurance and/or securities regulatory compliance experience.
  • Areas of experience desired may vary based upon assigned compliance functions and may include complaints and complaints investigation, monitoring and analysis, surveillance, legal research, fraud or anti-money laundering investigations and/or anything else related to financial industry regulation and compliance.
  • A general knowledge of insurance and securities laws, regulations, rules, etc.
  • FINRA licensing (Series 7 & 24 or Series 6 & 26, Series 65/66, etc.) is a plus, but not required.
  • Exemplary written and verbal communication skills.
  • Analytical and research skills required.
  • Proficiency using MS Office tools.
  • Prefer FINRA licensing (Series 7 & 24 or Series 6 & 26, Series 65/66, etc.).
  • Prefer prior experience with surveillance and/or complaints.

Working Environment:

Employees will be assigned to one of the following work location designations:

  • In office employees will perform all their work at a Company office location.
  • Hybrid employees will need to work at a Company office location at times and a remote work location (typically their home) at times.
  • Commuting Remote employees will need to report to a Company office location at times, but will perform their work primarily remotely.
  • 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.

What You Receive:

A Comprehensive Wealth + Health package.  It’s our passion to empower people, and especially our employees, to add years to their lives and more life to their years.  That means a healthy account balance and a healthy body to match.  As you’ll come to discover, Wealth + Health is a central part of everything we do!

Wealth Benefits; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Employee Discounts, Career Training & Development Opportunities, Certification Sponsorship

Health and Work/Life Balance Benefits; Be Well Company sponsored holistic wellness program which includes Wellness Coaching and reward dollars, Parental Leave, Adoption Assistance, Employee Assistance Program, College Coach Program, Back-up Care Program, Paid Time Off to Volunteer, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program

Our commitment to inclusion & diversity means that we value differences. We encourage the unique perspectives of individuals and are dedicated to creating a respectful and inclusive work environment.

Company information

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. If you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs, please contact: applicantsupport@transamerica.com.

Technical Assistance:

If you experience technical problems during the application process, please email applicantsupport@transamerica.com.