Sr Director, Investment Compliance

Transamerica•Cedar Rapids, IA

1d•$212,000 - $225,000•Hybrid

About The Position

Provides strategic leadership and direction in the design, implementation, and oversight of compliance programs supporting Transamerica Life Insurance Company’s general account investment activities within the Office of the Chief Investment Officer (OCIO), ensuring adherence to regulatory requirements and internal policies while promoting a strong culture of compliance and ethical conduct. This position is part of the compliance leadership team, supporting the build-out of the Chief Investment Office and will report into the Enterprise Chief Compliance Officer.

Requirements

Bachelor’s degree or equivalent experience
12 years of asset management compliance experience
Expertise in investment compliance, including innovative investment strategies such as private equity, real estate, infrastructure, and alternative credit
Strong analytical and problem-solving skills
Strong leadership and management skills
Excellent interpersonal and written and verbal communication skills
Ability to influence and collaborate with senior executives, investment professionals, and external stakeholders
Ability to navigate ambiguity and drive results in a fast-paced environment
Aptitude with technology and compliance operations

Nice To Haves

Juris Doctor
MBA

Responsibilities

Design, implement, and maintain a comprehensive compliance program for investment advisory activities over the general account in alignment with the National Association of Insurance Commissioners (NAIC) Investments of Insurers Model Act, Iowa Code Chapters 508/511, and New York Insurance Law.
Establish and maintain written policies and procedures covering investment advisory, portfolio management, trading, conflicts of interest, personal trading, material nonpublic information (MNPI), information barriers, and post-trade compliance.
Provide independent compliance oversight to ensure adherence to applicable laws, regulations, and internal policies.
Oversee and evaluate compliance monitoring and testing activities across investment functions, including the annual review of the derivatives use plan.
Identify, escalate, and track remediation of compliance issues, regulatory findings, and control gaps.
Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense.
Serve as a strategic compliance partner to senior investment leadership, fostering a culture of compliance, risk awareness, and ethical conduct.
Lead, develop, and mentor compliance professionals, promoting accountability, performance, and continuous improvement.
Drive efficiency and effectiveness through process improvements, data analytics, and technology-enabled compliance solutions.

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