Transamerica Senior Compliance Analyst in Denver, Colorado
Job FamilyCompliance - General
Job Description SummaryTransamerica is currently seeking professional candidates for the role of Advertising Reviewer. This individual will report to the Compliance Manager and will be responsible for the day-to-day review of communications with the public; ensuring that all communications comply with federal and state regulatory standards.Job Description
Review and approve company, product, and producer advertising material of a difficult or complex nature for compliance with state and federal advertising laws and regulations.
Determine whether regulatory filings of advertising is required and coordinate as needed.
Maintain final copies of advertising and other related documentation.
Perform special projects as assigned.
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.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
Analyze processes, services and products, and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)
Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
Update and maintaining complete and accurate policies, procedures, compliance logs or files.
Assist team members with research and assigned tasks; provide training to supported teams.
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.
Securities and some advertising industry positions require comprehensive knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24).
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.
- Series 53, experience working with retail registered reps and the marketing collateral they create.
- Office Environment
At Transamerica we promote a Future Fit mindset. What is a Future Fit mindset?
Acting as One fosters an environment of positive collaboration
Accountability allows us to own the problem as well as the solution
Agility inspires new ideas, innovation and challenges the status quo
Customer Centricity encourages an above and beyond approach to our customer
Why Work for Us
Total Rewards at Transamerica: It’s more than a paycheck.
Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mind… to help you live your best life, grow personally and professionally - and feel valued for the work you do.
Learn more about our Total Rewards Package.
Equal Opportunity Employer:
Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.
AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.
Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. Please contact: email@example.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs.
Our Company is committed to providing accessibility to those with disabilities in a manner that is consistent with the principles of independence, dignity, integration and equality of opportunity, that is in compliance with the Accessibility for Ontarians with Disabilities Act 2005 ("AODA"). Please contact firstname.lastname@example.org if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs.
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At Transamerica, hard work, innovative thinking and personal accountability are qualities that we honor and reward. We understand the potential that is unleashed by 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 focused on helping customers secure their long-term financial futures.
Transamerica is a part of AEGON, an international life insurance, pension, and asset management company. The AEGON companies employ approximately 28,000 people and have a strong presence in more than 20 countries across the globe. For more information, visit www.transamerica.com.