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Lead Compliance Analyst - Advisory at Transamerica - ApplyBlast

Lead Compliance Analyst - Advisory

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 supports Transamerica's investment advisory compliance program by overseeing regulatory oversight, risk management, and compliance initiatives. It involves interpreting SEC regulations, preparing regulatory disclosures, and collaborating with legal and business partners to ensure compliance with fiduciary and advisory requirements.

Responsibilities

Lead advisory compliance programs and regulatory initiatives
Coordinate preparation and maintenance of Form ADV and other SEC filings
Support regulatory examinations, audits, and remediation activities

Skills

Qualifications

Bachelor's degree in business, finance, or other relevant fieldFINRA Series 7FINRA Series 24FINRA Series 65/66

About Transamerica

transamerica.com

Headquarters

Baltimore, Maryland, United States

Company Size

5001-10000 employees

Founded

1904

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