Sr Mgr Compliance - TFA

Bachelor’s degree in business, accounting, or a related field.

8+ years of compliance or regulatory experience in a

retail broker‑dealer and RIA environment

.

3+ years of people leadership experience.

Strong working knowledge of SEC, FINRA, and state securities regulations.

The salary for this position generally ranges between $120,000 - $145,000 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.

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

Transamerica Financial Advisors (TFA) is seeking an experienced Senior Manager, Compliance to help lead and strengthen our compliance program supporting our retail broker dealer and registered investment advisor (RIA) businesses. Reporting to the Chief Compliance Officer, this role is ideal for a hands-on compliance leader who brings deep regulatory expertise, strong judgment, and proven people leadership.

Assist the Divisional Compliance Officer/Director, Compliance in supervising or managing multiple functions, activities and operations of the business units'/divisions' Compliance Departments. Prevent, detect and assist in resolving potential violations of state and federal laws and regulations and the rules of self-regulatory and industry ethical standards organizations.

Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.

Lead advisory compliance for the RIA, including policies and procedures, Form ADV management, and regulatory filings (e.g., 13F, 13H).

Oversee broker‑dealer and RIA surveillance programs, including risk‑based transaction reviews and trend analysis.

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