Intermediate Compliance Analyst - Advertising Reviewer

Full Time

Compliance

United States

Transamerica is currently seeking professional candidates for the role of Advertising Reviewer. This individual will report to the Compliance Manager and will be responsible for the day-to-day review of communications with the public; ensuring that all communications comply with federal and state regulatory standards.

Responsibilities:

• Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.

• Determine whether regulatory filings of advertising is required and coordinate as needed.

• Maintain final copies of advertising and other related documentation.

• Perform special projects as assigned.

• Participate in regulatory and corporate audits for advertising compliance.

• 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, 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. 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.

Qualifications:

• 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.

• Comprehensive knowledge of securities laws, regulations, rules, and applicable FINRA licensing (Series 6 & 26, or able to obtain within 90 days).

• Strong written and verbal communication skills.

• Analytical and research skills.

• Proficiency using MS Office tools.

Preferred Qualifications:

• Series 7 & 24, or able to obtain within 90 days.

• Ability to work in a fast-moving team.

Our Culture:

At Transamerica we promote a Future Fit mindset. What is a Future Fit mindset?

• Acting as One fosters an environment of positive collaboration.

• Accountability allows us to own the problem as well as the solution.

• Agility inspires new ideas, innovation and challenges the status quo.

• Customer Centricity encourages an above and beyond approach to our customer.

Work location:

Remote or hybrid location (candidates in Denver, CO or Cedar Rapids, IA may be required to come into the office 1-3 days per week).

Compensation:

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**

The Salary for this position generally ranges between $60,000 - $70,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus target of 7.5% based on the Company Bonus Plan/Individual Performance and is at Company 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 to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

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