Intermediate Compliance Analyst

Job Description

Responsibilities :

Review current policies and procedures; identify and help to implement new and / or enhanced practices.

Contribute to the development of new and / or enhanced compliance programs and enterprise-wide initiatives.

Research 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. Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.

Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.

Update and maintain complete and accurate policies, procedures, compliance logs or files.

Assist team members with research and assigned tasks, and provide training to supported teams.

May assist with one or more of the following compliance functions :

Analyze new legislation and create summaries regarding the course of compliance action for the departments

Review and approve advertising material for products

Analyze company responses to regulatory complaints and assist with completion.

Manage and coordinate regulatory examinations.

Legislative analysis of past, current and proposed regulations for performing continuous compliance reviews to maintain product integrity and a compliant product portfolio.

Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations.

Review provided information for completeness and accuracy.

Assist in drafting responses to examiner inquiries.

Assist in identifying root causes of adverse findings and suggest opportunities for enhancements.

Work closely with CCO in management and coordination of applicable securities industry compliance program.

Foster a culture of compliance to help prevent, detect, and correct violations of securities rules and regulations.

Provide assistance to support and educate business partners, representatives and supervisors.

Assist in compiling information for Regulatory filings such as the Form BD and Form ADV.

Assist in managing internal and regulatory inquiries and investigations involving representatives.

Assist in reviewing and responding to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels.

Assist in periodic testing to ensure compliance with applicable regulations.

Review and respond to complaints from consumers or regulators (e.g., state insurance department, FINRA, SEC, consumer)

Work closely with internal business areas to investigate complaints and provide a reasonable resolution to issues.

Identify root causes; suggest opportunities for enhancements.

Compile complaint procedures and records in support of regulatory examination requests.

Participate in team meetings and discussions of complaint cases.

Qualifications :

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.

Two years of regulatory, securities, or advertising compliance experience.

Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and / or communications.

Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).

Written and verbal communication skills.

Analytical and research skills.

Proficiency using MS Office tools.

Working Conditions :

Non-commuting Remote employees will not be assigned to report to a Company office location (although they may need to travel to a Company office upon request) and will perform their work remotely.

Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws.

It is estimated based on what a successful candidate might be paid in certain Company locations.

The Salary for this position generally ranges between $56,000-$66,000 annually. This range is an estimate, based on potential qualifications and operational needs.

Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan / Individual Performance and is at Company discretion.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation 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

College Coach 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

Peer Recognition Program (BRAVO)

As of December 31, 2022

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts throughthe Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including theInclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs.

This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity.

ERGs are open to all employees.Theyprovide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

Webelieve our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994.

Through a mixof financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegonacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.

5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose : Helping people live their best lives.

As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.