Lead Compliance Analyst - Advisory

Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or other relevant experience

Experience in advisory compliance supporting compliance programs, compliance testing, regulatory examinations and compliance risk assessments.

Strong working knowledge of the Investment Advisers Act of 1940, SEC rules and regulations applicable to registered investment advisers, and fiduciary obligations.

Knowledge of advisory products, investment management services, advisory fee arrangements, and related regulatory requirements.

FINRA Series 7, 24, and 65/66 licenses, or ability to obtain required licenses within a specified timeframe.

Experience supporting Form ADV preparation and maintenance.

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 key member of the Compliance department, help strengthen the effectiveness of the firm's investment advisory compliance program by supporting regulatory oversight, compliance risk management, and compliance initiatives designed to mitigate legal, regulatory, operational, and reputational risk.

Apply advanced knowledge of the Investment Advisers Act of 1940, fiduciary obligations, and SEC regulatory requirements to independently perform complex compliance activities, identify emerging risks, recommend practical solutions, and support the ongoing enhancement of the firm's compliance program.

Serve as a lead resource for assigned advisory compliance programs, regulatory initiatives, monitoring activities, and compliance projects, including regulatory oversight, risk assessment, and policy implementation for advisory programs, products, and services.

Interpret and assess the impact of new and existing SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the firm’s advisory business.

Support the maintenance and ongoing enhancement of the firm’s compliance program, including policies and procedures, Code of Ethics, compliance testing, monitoring activities, risk assessments, and regulatory documentation.

Coordinate the preparation, review, and maintenance of regulatory disclosures including Form ADV Parts 1, 2A, 2B brochure supplements, 13F, and 13H.

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