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
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