Lead Compliance Analyst, Broker-Dealer/ Investment Advisor

Sorry, this vacancy has expired. 

Full time
Compliance
Duluth, Denver

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and 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 independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.

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.
  • 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; 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 minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
  • Manage, oversee and analyze internal surveillance reports and external reports from third parties (e.g., sub advisors, audit firms).
  • Provide guidance and support to business partners (e.g. Sales and Marketing) in creation of mandated product training.
  • Update and maintaining complete and accurate policies, procedures, compliance logs or files.
  • Assist team members with research and assigned tasks; provide training to supported teams.
  • May assist management with highly complex projects and coaching/development of staff.
  • Coordinate and gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations.
  • Draft responses to regulatory inquiries and send to regulator.

Qualifications

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience. 
  • Five 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 expert 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.

Preferred Qualifications

  • Investment Advisor’s Series 65 or 66 licenses

Working Conditions

  • Flexible Remote/Office environment.

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to the Colorado Equal Pay for Equal Work Act and Equal Pay Transparency Rules. It is estimated based on what a successful Colorado applicant might be paid. It assumes that the successful candidate will be in Colorado or perform the position from Colorado. Similar positions located outside of Colorado will not necessarily receive the same compensation. **

Compensation:

The salary for this position generally ranges between $80,000 and $92,000. This range is an estimate, based on potential employee qualifications, operational needs and other considerations permitted by law. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2.

Bonus Eligibility:

This position is also typically eligible for an annual bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion at a rate of 10%.

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, Stock Purchase Plan, 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.