The people of Transamerica bring expertise, creativity, heart and diverse thought to everything that we do-and to the communities where we live and work.
Are you an experienced compliance leader with a background in the retirement industry? Do you enjoy mentorship opportunities and building relationships within an organization to positively influence key stakeholders? Do you have a passion for creating, implementing, and operating compliance programs? Are you excited to be a part of a team helping to establish our company as an industry leader?
If your answer is yes, we are looking for you!
What You Will Do: The Director of Retirement Compliance will manage and coordinate Transamerica’s retirement broker-dealer and investment adviser compliance programs to ensure compliance with applicable federal and state regulations, and reduce risk exposure for the retirement business.
What You Will Learn: You will be working with a team of ambitious and engaged professionals who bring fresh ideas and diverse perspectives to help us continually shake up the status quo and stay on the forefront of compliance processes and procedures. You will learn what it means to work for a company that focuses on risk mitigation and process improvement as it relates to enabling us to perform at the level we need to transform and grow our business and maintain Transamerica reputation as an industry leader.
What Success Looks Like:
- Lead, manage, and deliver robust, proactive, and end-to-end compliance functions for Transamerica’s retirement investment adviser and broker-dealer, including implementation and oversight of policies and procedures, and delivery of annual compliance reports.
- Manage investment adviser and broker-dealer compliance monitoring programs to detect deviations from policies and procedures; confirm testing results are included on exception and other management reports to address, escalate when necessary, and resolve by responsible business persons.
- Remain current on regulatory/compliance issues and leading industry practices.
- Analyze and resolve compliance issues as they arise.
- Ensure compliance policies and procedures are comprehensive, robust, current, and reflect the firm’s business processes and conflicts of interests.
- Collaborate with and advise senior management on significant compliance matters and issues.
- Foster positive working relationships with business units, Legal, Risk, Internal Audit and senior management to support the compliance work.
- Offer guidance and advice to appropriate stakeholders as needed.
- Help ensure future business growth is attained in a responsible and regulatory compliant manner.
What You Need:
- Bachelor’s degree in business or relevant field
- Ten years of investment adviser and broker-dealer compliance experience as a CCO or senior compliance position
- Experience implementing and operating compliance program responsible for the oversight of third parties, internal and external
- Experience leading/managing others
- Extensive knowledge of collective investment vehicles, Office of the Comptroller of the Currency and state-chartered trust company regulations, the Employee Retirement Income Security Act of 1974, retirement plan administration services
- Extensive knowledge of the federal securities laws, including the Securities Exchange Act of 1934, Investment Advisers Act of 1940, SEC regulations, and FINRA rules
- General knowledge of the Employee Retirement Income Security Act of 1974 and retirement plan administration services
- Strong interpersonal skills to build collaborative relationships and actively contribute to discussions
- Strong analytical and problem-solving skills
- Ability to multi-task and prioritize
- Juris Doctor (Not Required)
- Securities and insurance company compliance program experience
At Transamerica we promote a Future Fit mindset. What is a Future Fit mindset?
- Acting as One fosters an environment of positive collaboration
- Accountability allows us to own the problem as well as the solution
- Agility inspires new ideas, innovation and challenges the status quo
- Customer Centricity encourages an above and beyond approach to our customer
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.
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.
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: firstname.lastname@example.org.
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