Senior Compliance Analyst - Advertising Reviewer (Hybrid)
About the role
Transamerica is seeking professional candidates for the role of Senior Compliance Analyst. This individual will report to the Compliance Manager and will be responsible for the day-to-day review of advertisements; ensuring that all communications comply with federal and state regulatory standards.
Responsibilities
- Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.
- Determine whether regulatory filings of advertising are required and coordinate as needed.
- Build and maintain rules in the advertising review system.
- Maintain final copies of advertising and other related documentation.
- Participate in regulatory and corporate audits for advertising compliance.
- Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
- Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to the organization and advise business partners.
- Update and maintain complete and accurate policies, procedures, compliance logs or files.
- Assist team members with research and assigned tasks; provide training to supported teams.
- Perform special projects as assigned.
Qualifications
- Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
- Four years of regulatory, securities, or advertising compliance experience.
- Comprehensive knowledge of insurance advertising laws and regulations.
- FINRA Series 6 & 26 or able to obtain within 90 days.
- Strong written and verbal communication skills.
- Analytical and research skills.
- Proficiency using MS Office tools.
Preferred Qualifications
- Comprehensive knowledge of securities advertising laws and rules.
- FINRA Series 7 & 24.
Compensation
The Salary for this position generally ranges between $80,000 - $90,000 annually. Please note that the salary range is a good faith estimate for this position and 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.
What We Offer
- 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
- Be Well Company holistic wellness program
- 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
Our Commitment to Diversity and Inclusion
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 through 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.
Our Parent Company
Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 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.