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Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of 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.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life .

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate , which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7 ,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com .

Job Description Summary

The Lead Compliance Analyst plays a crucial role in mitigating legal exposure and risk to the organization by enforcing company policies, procedures, and regulatory requirements. We seek a critical thinker and problem-solver who can apply broad knowledge of concepts to various circumstances, work independently with latitude for un-reviewed actions or decisions, and perform complex assignments as directed.

Job Description

• Collaborate frequently across departments, divisions, and the company to perform oversight testing and reimagine departmental work processes. You'll have the opportunity to creatively flex your analytical, investigative, and problem-solving skills in various ways. Our work is constantly evolving, and we seek team members who will help us reimagine the future of compliance with enthusiasm.

• Participate in the ongoing implementation and execution of the Company’s risk assessments and testing programs, including compliance testing as required by SEC and FINRA rules .

• Assess key business processes and critical business risks and controls .

• Develop and update the company's risk matrix.

• Document written testing plans and compliance testing procedures.

• Execute testing of procedures and internal controls of critical business areas.

• Evaluate, document, and present results of test work.

• Identify enhancements and remedial actions required to address compliance observations.

• Work with members of various teams and departments, including Legal, Operations, and Finance, to identify and address regulatory matters. Assist in responding to regulatory requests as needed.

• Evaluate internal and external requests for information and draft appropriate responses.

• Research and interpret current and proposed regulatory requirements to determine their impact on the organization and prepare business partners and the firm for compliance with new rules.

• Assist with the oversight of the Company's service providers by executing agreed-upon diligence as determined by the CCO and members of the Legal and Compliance department.

• Perform analysis, identify trends, and follow up on opportunities for enhancement with minimal supervision.

• Review and examine current policies and procedures; identify, recommend, and implement new and/or enhanced controls as necessary.

• Conduct oversight testing to ensure business partners are compliant with state insurance requirements.

• Identify issues resulting from internal and/or external compliance examinations; follow up on agreed-upon resolutions of findings while providing creative and innovative analysis and solutions.

• Assist with the completion of annual and periodic regulatory filings such as Form ADV.

• Provide training and guidance to colleagues and business partners regarding compliance obligations or changes in regulations and/or company procedures.

• Provide guidance and support to business partners with respect to supervisory responsibilities.

What You Will Need:

• Bachelor’s degree in a relevant field or equivalent education and experience.

• Basic knowledge of securities products, as well as retirement and insurance products is a plus.

• General knowledge of regulatory requirements such as the Investment Advisers Act, FINRA rules and/or state insurance requirements is a plus.

• FINRA licensing, Series 7 & 24 or Series 6 & 26 is preferred, however, unlicensed candidates will be expected to obtain within 6 months of hire.

• A strong sense of integrity, behaving consistently with expressed values and ethical principles of Transamerica.

• Excellent communication and presentation skills including the ability to articulate clear ideas/strategies to multiple audiences.

• Strong interpersonal and written/verbal communication skills.

• The ability to balance regulatory and policy standards along with a practical business perspective. Must be highly flexible and capable of changing directions based on business demands.

• Exceptional organizational skills and the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines. Time management skills are essential.

• Excellent analytical, reasoning, and problem-solving skills. A strong attention to detail is needed for this role, as are analytical and issue-spotting skills.

• Ability to work independently or with minimal supervision, and a strong team player. Must be a consensus builder with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization.

• Must have the willingness to "roll up your sleeves" and take initiative in learning and applying new skills and regulations as well as building relationships.

• Proficiency with Microsoft Office suite including Word and Excel.

Working Conditions

Office environment.

The Salary for this position generally ranges between $90,000-$100,000 annually . Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees .

Compensation Benefits

+ Competitive Pay

+ Bonus for Eligible Em ployees

Benefits Package

+ Pension Plan

+ 401k Match

+ Employee Stock Purchase Plan

+ Tuition Reimbursement

+ Disability Insurance

+ Medical Insurance

+ Dental Insurance

+ Vision Insurance

+ Employee Discounts

+ Career Training & Development Opportunities

Health and Work/Life Balance Benefits

+ Paid Time Off starting at 160 hours annually for employees in their first year of service.

+ Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

+ Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars

+ Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of s ervice at the time of birth, placement of an adopted child, or placement of a foster care child.

+ Adoption Assistance

+ Employee Assistance Program

+ College Coach Program

+ Back-Up Care Program

+ PTO for Volunteer Hours

+ Employee Matching Gifts Program

+ Employee Resource Groups

+ Inclusion and Diversity Programs

+ Employee Recognition Program

+ Referral Bonus Programs

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads , and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company - sponsor ed, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees . They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation (https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation) in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegon (http://www.aegon.com/) acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

* As of December 31, 2023

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 A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit   www.transamerica.com .

* As of December 31, 2022

For more information about Transamerica’s privacy practices, click here. (https://transamerica.com/sites/default/files/files/e070d/job\_app\_0123.pdf)