RIA Lead Compliance Analyst
73% Flex- Remote from:United States
RIA Lead Compliance Analyst
Offer summary
Qualifications: Bachelor’s degree in business, marketing or pre-law, 5 years of regulatory compliance experience, Strong knowledge of Advisers Act and SEC rules, Expertise in securities laws and regulations, Excellent communication and analytical skills.
Key responsabilities:
- Provide regulatory oversight and policy implementation
- Collaborate for compliance on RIA initiatives
- Maintain Form ADV and compliance programs
- Support regulatory examinations and due diligence
- Assist with risks assessment and conflicts of interest
Transamerica
Financial ServicesXLargeaboutTransamerica
Job description
Your missionsJob Family
Regulatory ComplianceAbout Us
At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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.
Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit www.transamerica.com.
Who We Are
Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.
What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).
Job Description Summary
Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements related to a registered investment advisor (RIA) firm. Possesses and applies broad knowledge of concepts and principles; works independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.Job Description
Responsibilities
Assist in providing regulatory oversight, risk management, and policy implementation for all investment advisory programs.
Identify process improvements and strategies for execution to assist management with achieving compliance objectives. Implement RIA department initiatives as directed.
Assist in providing direction and guidance to firm personnel and field associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.
Assist in maintaining Form ADV Parts 1 and 2A and RIA platform Appendices. Work independently to coordinate with external departments to collect, validate and provide data required for the filings of the aforementioned ADVs.
Assist in maintaining Policies and Procedures, Code of Ethics and overall compliance program. Assist in identifying and assessing new or changing regulatory issues and market trends; assist in developing, maintaining and effectively communicating policies and procedures.
Serve as a resource to management and firm personnel regarding special projects and regulatory initiatives.
Collaborate with the investment advisory team on the initial and ongoing due diligence of products to ensure agreements and fees are properly disclosed and firms are providing services as described.
Support regulatory examinations as needed and assist in the implementation of new policies and procedures.
Assist in identifying risks and conflicts of interest related to the firm’s business models.
Assist and support management related to RIA activity, compliance, and recordkeeping.
Assist internal and external team members with research, assigned tasks and provide training as needed.
Complete ad hoc tasks as needed by management.
Qualifications
Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Five years of regulatory or securities compliance experience.
Strong working knowledge of the Advisers Act and SEC rules and regulations as it relates to RIAs.
Must have thorough understanding of fiduciary responsibilities and a broad knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements.
Securities industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 65/66, 7 and 24 registrations required).
Exemplary written and verbal communication skills.
Analytical skills and the ability to perform complex research required.
Proficiency using MS Office tools.
Preferred Qualifications
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.
Working Conditions
Office environment
Remote working environment
Compensation
The US salary for this position generally ranges between $83,000 - $90,000 annually. This range is an estimate, based on potential employee qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally in the US, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.
What We Offer
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Compensation Benefits
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
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
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
College Coach 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
Peer Recognition Program (BRAVO)
* As of December 31, 2022
Inclusion & Diversity
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.
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.
Giving 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.
https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation
Transamerica’s Parent Company
Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 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.
Required profile
- Strong analytical capabilities
- Effective communication skills
- Attention to detail
- Proactive problem-solving attitude
- Team player
- Adaptability to changing regulatory landscape
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