Transamerica

Senior Manager, Compliance – TFA

Transamerica

full-time

Posted on:

Location Type: Hybrid

Location: Cedar Rapids • Colorado • Iowa • United States

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Salary

💰 $120,000 - $145,000 per year

Job Level

Senior

About the role

  • Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.
  • Lead advisory compliance for the RIA, including policies and procedures, Form ADV management, and regulatory filings (e.g., 13F, 13H).
  • Oversee broker‑dealer and RIA surveillance programs, including risk‑based transaction reviews and trend analysis.
  • Manage back‑end surveillance of securities activity and affiliated insurance business.
  • Partner with Supervision and business leaders to investigate, escalate, and resolve potential compliance issues.
  • Monitor regulatory developments impacting the broker‑dealer, RIA, and insurance activities and guide implementation across the organization.
  • Lead, mentor, and develop compliance advisory and surveillance teams, fostering a strong culture of accountability and continuous improvement.
  • Support and drive the continuous improvement of team performance by tracking Key Performance Indicators, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
  • Develop and deliver compliance training for home‑office and field audiences.
  • Leverage compliance surveillance tools and emerging technologies to enhance risk identification and program effectiveness.

Requirements

  • Bachelor’s degree in business, accounting, or a related field.
  • 8+ years of compliance or regulatory experience in a retail broker‑dealer and RIA environment.
  • 3+ years of people leadership experience.
  • Strong working knowledge of SEC, FINRA, and state securities regulations.
  • Active Series 7, 24, and 66 licenses.
  • Excellent communication, analytical, research and problem‑solving skills.
  • Extensive experience with MS Office tools.
Benefits
  • Competitive Pay
  • Bonus for Eligible Employees
  • Benefits Package
  • Pension Plan
  • 401k Match
  • Employee Stock Purchase Plan
  • Tuition Reimbursement
  • Disability Insurance
  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • Employee Discounts
  • Career Training & Development Opportunities
  • Health and Work/Life Balance Benefits
  • Paid Time Off starting at 160 hours annually for employees in their first year of service.
  • Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
  • Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
  • Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
  • Adoption Assistance
  • Employee Assistance Program
  • Back-Up Care Program
  • PTO for Volunteer Hours
  • Employee Matching Gifts Program
  • Employee Resource Groups
  • Inclusion and Diversity Programs
  • Employee Recognition Program
  • Referral Bonus Programs
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
regulatory risk evaluationcontrol gap analysiscompliance strategy developmentForm ADV managementregulatory filingsrisk-based transaction reviewstrend analysiscompliance training developmentKey Performance Indicators trackingworkflow efficiency improvement
Soft Skills
leadershipmentoringcommunicationanalytical skillsresearch skillsproblem-solvingteam developmentaccountabilitycontinuous improvementcollaboration
Certifications
Bachelor's degreeSeries 7 licenseSeries 24 licenseSeries 66 license