Senior Director, Compliance - Broker Dealer & RIA

Transamerica•Cedar Rapids, IA

2d•$165,000 - $190,000•Hybrid

About The Position

This role leads Broker Dealer and RIA compliance oversight for Transamerica Retirement, managing a team of compliance professionals and partnering with the Retirement Chief Compliance Officer to execute and enhance the compliance program. The role supports retirement, advisory, brokerage, managed accounts, and related investment products and requires deep FINRA/SEC expertise, proven compliance program leadership, and the ability to influence senior business leaders.

Requirements

Bachelor's degree in business, finance, pre-law, or other relevant field, or equivalent education and experience.
12 years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience.
Current FINRA Series 7 and 24 or Series 6 and 26
Proven ability to lead teams and cross-functional stakeholders through regulatory change, transformation, control enhancements, remediation, and enterprise initiatives.
Executive-level communication, influence, and judgment to advise senior leaders and translate complex regulatory risks into practical business recommendations.

Nice To Haves

Senior-level leadership or oversight of dual-registrant broker-dealer/RIA compliance programs, including governance, supervisory controls, regulatory change, and program effectiveness.
Expert knowledge of securities laws and compliance requirements, including Reg BI, fiduciary obligations, Form ADV, marketing rules, books and records, supervision, conflicts, and control frameworks.
Broad product expertise across retirement solutions, managed accounts, mutual funds, annuities, advisory platforms, brokerage products, and related investment services.
Advanced use of compliance systems, data, reporting, workflow tools, and Microsoft Office to support oversight, executive reporting, and program management.

Responsibilities

Set the strategic direction for assigned compliance functions while promoting a strong culture of compliance, ethical conduct, accountability, and proactive risk identification.
Serve as a senior Compliance contact for regulators, auditors, examiners, internal control partners, business leaders, and management on significant regulatory and compliance matters.
Lead, develop, coach, and assess compliance professionals, including setting priorities, allocating resources, providing technical guidance, and ensuring high-quality execution.
Advise on complex compliance obligations, including conflicts of interest, fiduciary and best interest requirements, sales practices, advertising and marketing review, compensation practices, disclosures, and third-party oversight.
Partner with Legal, Risk, Internal Audit, Operations, Supervision, Product, and Sales leadership on enterprise risk, control, training, and compliance program matters.
Use data, technology, surveillance tools, metrics, and reporting to strengthen compliance monitoring, issue identification, management reporting, and program oversight.
Oversee risk-based compliance monitoring, testing, assessments, control evaluations, regulatory change implementation, risk mitigation, remediation planning, policy development, and process improvements.
Prepare and deliver compliance reporting for senior management, governance committees, boards, and other oversight forums.
Lead or represent Compliance on complex projects, program enhancements, regulatory change initiatives, business transformation efforts, and enterprise initiatives.

Benefits

Competitive Pay
Bonus for Eligible Employees
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