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Manager, Compliance at Transamerica - ApplyBlast

Manager, Compliance

Transamerica

2 months ago

3.5 on Glassdoor

Philadelphia, Pennsylvania, United States

Hybrid

Full Time

Manager

0 applicants

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About this role

The Manager in the Compliance department leads and advances surveillance and oversight functions to mitigate legal, regulatory, operational, and reputational risk across securities and insurance distribution channels. This role provides strategic direction, people leadership, and program oversight for complex surveillance reviews, risk identification, trend analysis, and regulatory support.

Responsibilities

Manage compliance surveillance programs and monitoring controls
Develop and present management reporting on surveillance activity and trends
Lead, coach, and develop team members to ensure quality and continuous improvement

Skills

Qualifications

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

About Transamerica

transamerica.com

Headquarters

Baltimore, Maryland, United States

Company Size

5001-10000 employees

Founded

1904

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Let Transamerica help you live your best life and build financial security. Explore our customizable life insurance, retirement, and investment solutions.