Sr Director, Investment Compliance

About the role

Provides strategic leadership and direction in the design, implementation, and oversight of compliance programs supporting Transamerica Life Insurance Company’s general account investment activities within the Office of the Chief Investment Officer (OCIO), ensuring adherence to regulatory requirements and internal policies while promoting a strong culture of compliance and ethical conduct. This position is part of the compliance leadership team, supporting the build-out of the Chief Investment Office and will report into the Enterprise Chief Compliance Officer.

Responsibilities

• Design, implement, and maintain a comprehensive compliance program for investment advisory activities over the general account in alignment with the National Association of Insurance Commissioners (NAIC) Investments of Insurers Model Act, Iowa Code Chapters 508/511, and New York Insurance Law.
• Establish and maintain written policies and procedures covering investment advisory, portfolio management, trading, conflicts of interest, personal trading, material nonpublic information (MNPI), information barriers, and post-trade compliance.
• Provide independent compliance oversight to ensure adherence to applicable laws, regulations, and internal policies.
• Oversee and evaluate compliance monitoring and testing activities across investment functions, including the annual review of the derivatives use plan.
• Identify, escalate, and track remediation of compliance issues, regulatory findings, and control gaps.
• Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense.
• Serve as a strategic compliance partner to senior investment leadership, fostering a culture of compliance, risk awareness, and ethical conduct.
• Lead, develop, and mentor compliance professionals, promoting accountability, performance, and continuous improvement.
• Drive efficiency and effectiveness through process improvements, data analytics, and technology-enabled compliance solutions.

Qualifications

• Bachelor’s degree or equivalent experience
• 12 years of asset management compliance experience
• Expertise in investment compliance, including innovative investment strategies such as private equity, real estate, infrastructure, and alternative credit
• Strong analytical and problem-solving skills
• Strong leadership and management skills
• Excellent interpersonal and written and verbal communication skills
• Aptitude with technology and compliance operations

Preferred Qualifications

• Juris Doctor
• MBA

Compensation

The Salary for this position generally ranges between $212,000 - $225,000 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

• Comprehensive benefits package designed to support both the personal and financial well-being of our employees.
• Pension Plan
• 401(k) 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, 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

What We Offer

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. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Give Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of 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.