Intermediate Compliance Analyst, Market Conduct

Transamerica Life Insurance Company Cedar Rapids , IA 52402

Posted 4 months ago

Job Family

Compliance - General

Job Description Summary

The people of Transamerica bring expertise, creativity, heart and diverse thought to everything that we do-and to the communities where we live and work.

Are you interested in risk management, following established policies and procedures, learning about internal exam regulations, as well as completing research relating to guidelines? Are you an analytical, inquisitive, and detail-oriented individual with the proven ability to problem solve? Do you want to be part of a winning compliance team that will help to establish our company as an industry leader?

If your answer is yes, we are looking for you!

Job Description

What You Will Do: You will help to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. You should have the ability to possess and apply broad knowledge of concepts and principles; work with some instruction or guidance with applicable latitude for un-reviewed action or decisions; perform more complex assignments with direction and guidance from management. You will analyze Transamerica's responses to regulatory complaints and assist with completion as well as manage and coordinate regulatory examinations.

What You Will Learn: You will be working with a team of ambitious and engaged professionals who bring fresh ideas and diverse perspectives to help us continually shake up the status quo and stay on the forefront of maintaining and developing our compliance processes and policies. You will learn what it means to work for a company that focuses on risk management and process improvement as it relates to enabling us to perform at the level we need to transform and grow our business and maintain Transamerica reputation as an industry leader.

What Success Looks Like:

  • 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.

  • Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)

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

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

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

  • 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.

What You Need:

  • 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.

What You Receive:

A Comprehensive Wealth + Health package. It's our passion to empower people, and especially our employees, to add years to their lives and more life to their years. That means a healthy account balance and a healthy body to match. As you'll come to discover, Wealth + Health is a central part of everything we do!

Wealth Benefits; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee

Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Stock Purchase Plan, Employee

Discounts, Career Training & Development Opportunities, Certification Sponsorship

Health and Work/Life Balance Benefits; Be Well Company sponsored holistic wellness program which includes Wellness Coaching and reward dollars, Parental Leave, Adoption Assistance, Employee Assistance Program, College Coach Program, Back-up Care Program, Paid Time Off to Volunteer, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program.

Why Work for Us

Total Rewards at Transamerica: It's more than a paycheck.

Our comprehensive Total Rewards package is designed to help support you in many ways throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mind to help you live your best life, grow personally and professionally - and feel valued for the work you do.

Learn more about our Total Rewards Package.

Equal Opportunity Employer:

Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. Please contact: applicantsupport@transamerica.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs.

Ontario Applicants:

Our Company is committed to providing accessibility to those with disabilities in a manner that is consistent with the principles of independence, dignity, integration and equality of opportunity, that is in compliance with the Accessibility for Ontarians with Disabilities Act 2005 ("AODA"). Please contact applicantsupport@transamerica.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs.

Technical Assistance:

If you experience technical problems during the application process, please email applicantsupport@transamerica.com.


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