Sr Mgr Compliance - Tfa

Transamerica Corporation

Multiple Locations
Base: $120,000 - $145,000 annually; bonus/equity: ...
Hybrid (3 days onsite)
Broker-dealer and ria compliance
Regulatory surveillance programs
Finra and sec regulations
Transamerica Corporation is seeking a Senior Manager of Compliance for its Transamerica Financial Advisors (TFA) division, focusing on enhancing compliance programs for retail broker-dealer and RIA businesses. The ideal candidate will have extensive regulatory experience, strong leadership skills, and a proactive approach to compliance strategy

Job Summary

  • This role is ideal for a hands-on compliance leader who brings deep regulatory expertise, strong judgment, and proven people leadership.
  • Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.
  • Lead, mentor, and develop compliance advisory and surveillance teams, fostering a strong culture of accountability and continuous improvement.

Matching Summary

Match Score: 85

Transamerica Corporation is seeking a Senior Manager of Compliance for its Transamerica Financial Advisors (TFA) division, focusing on enhancing compliance programs for retail broker-dealer and RIA businesses. The ideal candidate will have extensive regulatory experience, strong leadership skills, and a proactive approach to compliance strategy.

Salary

Base: $120,000 - $145,000 annually; Bonus/Equity: Eligible for Annual Bonus; Benefits: Comprehensive benefits package

Skills & Requirements

Must-have

  • Broker-dealer and RIA compliance
  • Regulatory surveillance programs
  • FINRA and SEC regulations
  • Develop compliance training
  • Lead compliance teams

Nice-to-have

  • Insurance industry experience
  • AI-enabled research platforms
  • Collaborative organizational culture

Key Requirements

  • 8+ years compliance/regulatory experience
  • 3+ years people leadership experience
  • Active Series 7, 24, and 66 licenses
  • Bachelor's degree in business or related field

Work Rights

Not specified

Tailored Resume

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