Testing Lead Compliance Analyst (FINRA licenses required) Join to apply for the Testing Lead Compliance Analyst (FINRA licenses required) role at Transamerica . **About Us** At Transamerica, we value hard work, innovative thinking, and personal accountability. We embrace diversity and foster an environment where employees balance their careers, families, and personal interests. Job Family: Regulatory Compliance **About Us** We are committed to helping people plan for the best life possible by providing financial solutions. With a history spanning over a century, we serve millions worldwide through our insurance, retirement, and investment products. What We Do Transamerica operates in three main areas: World Financial Group, Protection Solutions and Savings & Investments, and Financial Assets, supported by corporate functions. Job Description Summary We seek a dynamic Testing Lead Compliance Analyst to oversee compliance testing related to broker-dealer and registered investment advisor regulations, including FINRA, SEC, and other regulators. Responsibilities: Conduct internal broker-dealer 3120 and investment advisor 206(4)-7 testing and prepare related reports. Review policies, recommend improvements, and assist in implementation. Update and manage compliance documentation and testing schedules. Develop reports for compliance and risk management. Improve testing processes and efficiency. Compile and analyze data for management and regulatory reporting. Oversee reports from internal and external sources. Maintain comprehensive compliance records. Support team research and training efforts. Perform additional tasks as assigned. Qualifications: Bachelor’s degree or equivalent experience in a relevant field. At least five years of compliance experience in insurance and/or securities. Knowledge of applicable laws and regulations. FINRA Series 7 & 24 licenses required; Series 66 preferred. Excellent communication, analytical, and research skills. Proficiency in MS Office, especially Excel. Working Conditions: Hybrid environment in Cedar Rapids, Baltimore, Denver, or Philadelphia. Compensation: $85,000 - $95,000 annually, plus potential bonus. Salary based on experience, location, and other factors. Benefits: Comprehensive package including health, dental, vision, 401k, PTO, wellness programs, and more. We promote diversity and inclusion through various programs and Employee Resource Groups. #J-18808-Ljbffr Transamerica
...Job Description Job Description Position Objectives The Security Agent will function as the first level public safety officer. The... ...to interact with all employee levels and guests within the hotel Required ; Ability to multi task, prioritize and handle conflicting...
...Job Description Job Description We are seeking an energetic pediatric nurse (RN,LPN,CMA) to become a part of our team! You will perform routine clinical assignments to keep the pediatric office running smoothly. Responsibilities: Perform routine clinical tasks...
...Advancement Opportunities Flexible Scheduling Competitive Compensation Summary We are seeking a qualified and caring Registered Dental Assistant to join our team! As a Registered Dental Assistant, you will provide top-notch dental care that makes our clients feel...
Anticipated End Date:2025-05-16 Position Title:Business Information Developer Consultant Senior Job Description:Business Information Developer Consultant... ...Preferred Skills, Capabilities and Experiences:Expert level PC, spreadsheet, and database skills, as well as...
Job Description Allied Universal, North Americas leading security and facility services company, offers rewarding careers that provide you a sense of purpose. While working in a dynamic, welcoming, and collaborative workplace, you will be part of a team that contributes...