Transamerica

Senior Compliance Analyst – Conflicts Review

Transamerica

full-time

Posted on:

Location Type: Hybrid

Location: Denver • Colorado • Iowa • United States

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Salary

💰 $79,000 - $89,000 per year

Job Level

Senior

About the role

  • Develop, update, and maintain current policies and procedures.
  • Review and approve ethics and conflict of interest disclosures
  • Provide guidance and support to employees, business partners and team members.
  • Participate in the development and delivery of training programs to educate employees on ethics standards and conflicts of interest protocols.
  • Identify process improvement opportunities and assist with implementing best practices within compliance and ethics functions .
  • Work with business partners to resolve compliance cases and contribute to solutions.
  • Monitor regulatory changes and help update internal processes to maintain ongoing compliance.
  • Compliance information for the preparation of responses to auditors and state/federal regulators.
  • Contribute to preparing reports for management on ethics and compliance activities.
  • Manage, oversee and analyze reports from third parties (e.g., software vendors )
  • Assist team members with research and assigned tasks; provide training to supported teams.
  • Ensure confidentiality and protect the integrity of sensitive information in all compliance activities.

Requirements

  • Bachelor’s degree in business, marketing, pre-law or other field, or equivalent education and experience.
  • Four years of regulatory, securities, or ethics experience, preferably with FINRA or SEC-regulated companies
  • Series 7 & 24 licenses or the ability to obtain both within 6 months
  • Written and verbal communication skills.
  • Analytical and research skills.
  • Proficiency using MS Office tools.
  • Experience with data analytics software such as Power BI preferred
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 experiencesecurities experienceethics experiencedata analyticsprocess improvementreport preparationconflict of interest managementcompliance monitoringtraining program developmentauditor response preparation
Soft Skills
communication skillsanalytical skillsresearch skillsguidance and supportteam collaborationconfidentialityproblem-solvingtraining abilityinterpersonal skillsorganizational skills
Certifications
Bachelor's degreeSeries 7 licenseSeries 24 license