Senior Compliance Analyst
Transamerica is seeking professional candidates for the role of Senior Compliance Analyst. This individual will report to the Compliance Manager and will be responsible for the day-to-day review of advertisements; ensuring that all communications comply with federal and state regulatory standards.
Responsibilities:
- Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.
- Determine whether regulatory filings of advertising are required and coordinate as needed.
- Build and maintain rules in the advertising review system.
- Maintain final copies of advertising and other related documentation.
- Participate in regulatory and corporate audits for advertising compliance.
- Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
- Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to the organization and advise business partners.
- Update and maintain complete and accurate policies, procedures, compliance logs or files.
- Assist team members with research and assigned tasks; provide training to supported teams.
- Perform special projects as assigned.
Qualifications:
- Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
- Four years of regulatory, securities, or advertising compliance experience.
- Comprehensive knowledge of insurance advertising laws and regulations.
- FINRA Series 6 & 26 or able to obtain within 90 days.
- Strong written and verbal communication skills.
- Analytical and research skills.
- Proficiency using MS Office tools.
Preferred Qualifications:
- Comprehensive knowledge of securities advertising laws and rules.
- FINRA Series 7 & 24
Working Conditions:
- Hybrid office environment: 3 days in office (Baltimore/Cedar Rapids/Denver/Philadelphia)
Compensation:
- The Salary for this position generally ranges between $80,000 - $90,000 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.