R20030972_1 - Intermediate Compliance Analyst

Transamerica Life Insurance Company Denver , CO 80208

Posted 2 months ago

Description :

Job Description Summary

What You Will Do: The Intermediate Compliance Analyst helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. The ideal candidate possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions and performs more complex assignments with direction and guidance from management. 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 develop our compliance processes and policies as they relate to anti-money laundering, fraud, and market conduct. 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's reputation as an industry leader.

Job Description

What Success Looks Like:

  • Research and analyze reports, referrals and alerts for potential AML or fraud and determine whether to open or close a case. Conduct simple and more involved external and intermediary fraud and financial crimes investigations with direction from senior level staff.

  • Work with Operations to provide guidance on Sanctions program.

  • Provide AML, Sanctions and fraud compliance oversight as needed to ensure activities/transactions are consistently handled and/or referred.

  • Provide input on department processes and procedures; work with senior levels to implement changes.

  • Assist in more complex fraud and financial crimes investigations with other senior levels.

  • Coordinate annual reports and/or training for filing.

  • Assist in responding to regulatory inquiries with direction from senior levels.

  • Foster a culture of compliance to help prevent, detect and reduce company risk with respect to financial crime.

  • 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.

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.

Working Conditions

  • Office environment.
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R20030972_1 - Intermediate Compliance Analyst

Transamerica Life Insurance Company