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Compliance Testing Analyst at Transamerica - ApplyBlast

Compliance Testing Analyst

Transamerica

2 months ago

3.5 on Glassdoor

Denver, Colorado, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The role is a key member of Transamerica's Compliance department, responsible for leading compliance testing, monitoring, and regulatory oversight across broker‑dealer, registered investment adviser, and insurance agency activities. The analyst will evaluate controls, identify risks, and recommend enhancements to ensure regulatory compliance and support business objectives.

Responsibilities

Lead compliance testing programs across broker‑dealer and investment adviser units
Analyze testing results and recommend control improvements
Coordinate regulatory examinations and support remediation efforts

Skills

Qualifications

Bachelor's degree in Business/FinanceFINRA Series 7FINRA Series 24FINRA Series 65FINRA Series 66

About Transamerica

transamerica.com

Headquarters

Baltimore, Maryland, United States

Company Size

5001-10000 employees

Founded

1904

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