Compliance Manager - Surveillance

We need to output HTML fragment with headings for sections that have real content: About Us, Who We Are, What We Do, Job Description Summary, Responsibilities, Qualifications, Preferred Qualifications, Working Conditions, Compensation, What We Offer (Benefits), Inclusion & Diversity, Giving Back, Transamerica’s Parent Company Aegon (maybe). But we must follow rules: Use

for section headings (e.g., About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). However they gave examples but we can use other headings as needed? The instruction: "use

for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule)." It suggests we should use those headings if applicable, but we can also use other headings? Probably we should stick to those headings where appropriate, but we can also use other headings if needed? The instruction says use

for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). It doesn't forbid other headings, but likely they expect us to map content to those standard headings. However the posting includes sections like About Us, Who We Are, What We Do, Job Description Summary, Responsibilities, Qualifications, Preferred Qualifications, Working Conditions, Compensation, What We Offer, Inclusion & Diversity, Giving Back, Transamerica’s Parent Company Aegon. We need to decide which sections to include. The rule: "IMPORTANT: include a section ONLY when the posting has real, specific content for it — never emit a heading followed by filler/placeholder text". So we include sections that have substantive content. We also need to remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. There's no explicit EEO etc but there is some legal language at end: "Applicants must possess legal authorization..." etc. That's boilerplate? It's about work authorization; maybe we should drop it as it's not substantive? It's a requirement but maybe considered boilerplate? The instruction says remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate. The work authorization statement could be considered legal boilerplate. Might be safe to drop. Also the disclaimer about job description not a contract etc. That's legal boilerplate; drop. We need to preserve all substantive information. So we need to keep details about responsibilities, qualifications, etc. We need to use

• for any list of duties/requirements/benefits, and

  for prose. We need to not repeat the job title as a heading (the page already shows it) and do NOT put Job ID / requisition numbers as headings — fold minor metadata into a short

  or drop it. We need to output ONLY the HTML fragment. Thus we will produce something like:

  About Us

  At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. ...

  But we have multiple sections: About Us, Who We Are, What We Do, Job Description Summary, Responsibilities, Qualifications, Preferred Qualifications, Working Conditions, Compensation, What We Offer (Benefits), Inclusion & Diversity, Giving Back, Transamerica’s Parent Company Aegon. We need to decide if we should combine some sections to avoid thin ones. The instruction: "Prefer a few substantive sections over many thin ones." So maybe we can combine About Us, Who We Are, What We Do into a single "About Transamerica" section? But they said use headings like About the role, Responsibilities, etc. However we can still use About Us as heading if we have content. But to prefer fewer sections, we could merge the introductory paragraphs into one section called "About Transamerica". However the instruction says use

  for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). It doesn't forbid other headings, but suggests those are typical. I'd lean to keep the sections as they appear but maybe combine some. Given the content is substantial, we can keep each. But we need to ensure we don't create sections with placeholder text. All sections have real content. Now we need to format lists. Responsibilities: It's a paragraph with many sentences separated by periods but not bullet list. However we can treat as prose (

  ). The instruction says use

  • for any list of duties/requirements/benefits. The responsibilities are not explicitly a list but could be considered a list of duties. However they are written as sentences separated by semicolons? Actually they are sentences separated by periods. Could be considered a list but not explicitly bullet. Safer to keep as

    . Qualifications: It's a paragraph with bullet-like content? It says "Bachelor's degree ... or equivalent and experience 5 years of experience ...". That's prose. Preferred Qualifications: multiple bullet-like sentences separated by periods. Could be considered a list but we can keep as

    or split into

    • . The instruction says use
      • for any list of duties/requirements/benefits. Preferred Qualifications is a list of qualifications, so we should make a list. Similarly, What We Offer benefits: list of benefits; we should make a list. Working Conditions: includes hybrid office environment and locations; could be prose. Compensation: includes salary range paragraph; we can keep as

        . Inclusion & Diversity: paragraph. Giving Back: paragraph. Transamerica’s Parent Company Aegon: paragraph. We also need to drop the "Job Description Summary" maybe we can treat as a section heading "Job Description Summary". That's okay. Now we need to ensure we don't include duplicated lines. There's some duplication: The "About Us" and "Who We Are" and "What We Do" are somewhat overlapping but we keep. Now produce HTML. We'll start with

        About Us

        ...

        etc. We need to be careful to not include any markdown fences. Let's extract the content. About Us paragraph: "At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of 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 — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there." Who We Are: "We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms." What We Do: "Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com." Job Description Summary: "As a Manager in the Compliance department, this role is responsible for managing and advancing surveillance and oversight functions designed to mitigate legal, regulatory, operational, and reputational risk across securities and insurance distribution channels for the broker-dealer, registered investment adviser and insurance agency businesses. This role provides strategic direction, people leadership, and program oversight for complex surveillance reviews, risk identification, trend analysis, management reporting, regulatory support, and cross-functional initiatives that strengthen compliance with regulatory requirements, company policies, and sales practice standards." Responsibilities: The block after "Responsibilities Job Description". Actually the text: "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." We need to split into sentences for readability but can keep as one paragraph. Qualifications: "Bachelor's degree in business, communications, finance or other relevant field, or equivalent and 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: list: - 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. - Excellent skills using Microsoft Office tools, specifically Excel and ability to create 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 - Experience using AI to assist in data analytics or surveillance reviews. Working Conditions: "Hybrid office environment (Tuesday, Wednesday, Thursday)Locations: Denver, Cedar Rapids, Baltimore, Philadelphia" Note there is missing space after "Thursday)". We'll keep as