Compliance Manager - Surveillance

At Transamerica, we honor and reward hard work, innovative thinking, and personal accountability. We embrace a diverse workforce and foster an environment where employees balance careers, families, communities, and personal interests. Our collaborative and positive culture helps professionals assist people in planning for their best lives while providing tools and solutions to make it easier.

About Us

Transamerica believes everyone deserves to live their best life. Founded over a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, as part of an international holding company, we serve millions of customers and employ thousands worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them, supported by a diverse agent network across North America. Together with our nonprofit research institute and foundation, we are a force for good in the communities where we live, work, and play.

Transamerica is organized into three distinct businesses:

• World Financial Group, including Transamerica Financial Advisors
• Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions
• Financial Assets, which includes legacy blocks of long-term care, universal life, and variable and fixed annuities

These are supported by Transamerica Corporate functions such as Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs (covering Communications, Brand, and Government and Policy Affairs). Transamerica employs nearly 7,000 people and is part of Aegon, an international financial services group serving approximately 23.9 million customers worldwide.

Responsibilities

• Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk.
• Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls.
• Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards.
• Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations.
• Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments.
• Collaborate with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls.
• Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements.
• Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners.
• Lead, coach, and develop team members by setting expectations, providing guidance and feedback, supporting quality assurance, and fostering accountability and continuous improvement.

Requirements

• Bachelor's degree in business, communications, finance, or other relevant field, or equivalent experience.
• 5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.

Preferred Qualifications

• 10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.
• FINRA Series 7 and 24, or other FINRA registrations required by assigned responsibilities.
• Extensive knowledge and understanding of securities and advisory products, including applicable regulatory, supervisory, and sales practice requirements.
• Strong leadership, judgment, critical thinking, analytical, investigative, and decision-making skills, with the ability to manage competing priorities and guide others through complex issues.
• Ability to interpret regulatory requirements and company policies, translate requirements into practical program expectations, and drive implementation through communication, training, coaching, and collaboration.
• Excellent written and verbal communication skills, including the ability to present complex issues, trends, risks, and recommendations to senior leaders, business partners, auditors, and regulators.
• Advanced proficiency using Microsoft Office tools, specifically Excel and pivot tables.
• Advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness. Experience with FIS Global surveillance software is preferred.
• Experience using AI to assist in data analytics or surveillance reviews.

Schedule

Hybrid office environment (Tuesday, Wednesday, Thursday)

Locations: Denver, Cedar Rapids, Baltimore, Philadelphia

Pay

The salary for this position generally ranges between $100,000.00 and $115,000.00 annually. Actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote), and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Benefits

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

• Compensation Benefits:
  • Competitive pay
  • Bonus for eligible employees
  • Pension plan
  • 401k match
  • Employee Stock Purchase Plan
  • Tuition reimbursement
  • Disability insurance
• Health and Insurance Benefits:
  • Medical insurance
  • Dental insurance
  • Vision insurance
• 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 holidays)
  • Be Well Company holistic wellness program, including 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
  • 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
• Additional Perks:
  • Employee discounts
  • Career training and development opportunities

Inclusion & Diversity

Transamerica is committed to diversity and inclusion, creating a work environment filled with exceptional individuals. We have been recognized for our efforts by the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster inclusivity, Transamerica offers a wide range of diversity and inclusion programs, including Employee Resource Groups (ERGs). ERGs are company-sponsored, employee-driven groups formed around shared interests or common characteristics of diversity, open to all employees. They provide a supportive environment to appreciate similarities and differences.

Community Involvement

We believe our responsibilities extend beyond our corporate walls. The Aegon Transamerica Foundation, established in 1994, supports nonprofit organizations through financial grants and employee volunteer efforts, focusing on the communities where we live and work.