Compliance Manager - Surveillance

5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.

10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.

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 Employees

Benefits Package

Pension Plan

As a Manager in the Compliance department, this role is responsible for managing and advancing surveillance and oversight functions designed to mitigate legal, regulatory, operational, and reputational risk across securities and insurance distribution channels for the broker-dealer, registered investment adviser and insurance agency businesses.

This role provides strategic direction, people leadership, and program oversight for complex surveillance reviews, risk identification, trend analysis, management reporting, regulatory support, and cross-functional initiatives that strengthen compliance with regulatory requirements, company policies, and sales practice standards.

Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk.

Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls.

Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards.

Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations.

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