Lead Compliance Analyst - World Financial Group & Transamerica Financial Advisors (Hybrid)

Transamerica•Cedar Rapids, IA

1d•Hybrid

About The Position

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.

Requirements

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Five years of regulatory, securities, or insurance 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 expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing. (Series 7, 24 and 65/66 preferred, or Series 6 & 26 OK).
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.
Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

Nice To Haves

Experience with financial services clients and securities regulators.

Responsibilities

Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Research, analyze and interpret 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; 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.
With minimal supervision 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; provide training to supported teams.
May assist management with highly complex projects and coaching/development of staff.

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
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
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