Sr. Regulatory Compliance Analyst - Investment Compliance (Hybrid)

Job Family
Regulatory Compliance
About Us
At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.
Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.
Who We Are
We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.
Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.
We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.
What We Do
Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.
Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com.
Job Description Summary
As a key member of the Investment Compliance department, contribute to the design, implementation, and execution of an effective investment compliance program supporting the Office of the Chief Investment Officer (CIO) and the General Account. Mitigate legal, regulatory, operational, investment, and reputational risks through the application of compliance, insurance regulatory, and investment management knowledge. Perform complex assignments involving investment activities, portfolio oversight, regulatory change management, compliance monitoring, testing, and advisory support. Identify emerging regulatory and investment risks, communicate findings to senior management, support regulatory examinations and audits, and recommend practical enhancements that strengthen investment compliance controls, governance, and business practices.
Job Description
Responsibilities:
Own assigned investment compliance monitoring, surveillance, testing, regulatory change management initiatives, and compliance projects from planning through remediation. Develop and execute risk-based monitoring and testing programs designed to assess adherence to applicable investment guidelines, portfolio restrictions, regulatory requirements, and internal policies.
Perform reviews of investment activities, portfolio management practices, trading activity, investment operations, valuation processes, investment-related controls, policies, and procedures to assess adherence to applicable regulatory requirements, investment guidelines, and company standards.
Research, analyze, and interpret current, new, and proposed laws, regulations, accounting standards, regulatory guidance, and industry developments, including New York and Iowa insurance investment regulations, NAIC guidance, applicable state insurance requirements, and other applicable investment regulatory frameworks, to determine potential impact on General Account investment activities.
Identify emerging investment compliance risks, regulatory developments, control deficiencies, and governance gaps affecting fixed income, private assets, derivatives, structured products, alternative investments, securities lending programs, and other General Account investment activities. Recommend enhancements to controls, oversight processes, and governance frameworks.
Coordinate assigned aspects of regulatory examinations, state insurance department reviews, internal audits, external audits, risk assessments, inquiries, investigations, and other investment compliance-related reviews. Facilitate information requests, assess documentation, draft responses, track findings, and support remediation efforts.
Document testing procedures, results, compliance assessments, findings, recommendations, and corrective action plans. Track remediation activities and collaborate with CIO Office, Audit, Risk Management, Legal, Accounting, Valuation, Treasury, and Operations teams to ensure sustainable resolution of identified issues.
Draft, review, maintain, and enhance investment compliance policies, procedures, standards, monitoring reports, testing documentation, regulatory inventories, issue logs, investment guideline inventories, committee materials, and other governance documentation.
Serve as a trusted advisor to investment professionals and business partners by providing guidance regarding investment regulatory requirements, portfolio compliance obligations, investment guideline interpretation, control design, new investment strategies, and regulatory expectations.
Contribute to the development and enhancement of the investment compliance framework, including governance processes, compliance risk assessments, monitoring programs, surveillance capabilities, training initiatives, policies, procedures, and regulatory change management processes.
Represent Investment Compliance on committees, working groups, and strategic initiatives involving new asset classes, investment vehicles, derivatives, private investments, external managers, investment strategies, operational changes, technology implementations, regulatory developments, and control enhancements to ensure compliance requirements are appropriately considered and implemented.
Assist the Head of Investment Compliance in providing leadership and subject matter expertise on complex investment compliance matters. Mentor junior compliance professionals, promote knowledge sharing across the organization, and support the continued development of the GA investment compliance function.
Qualifications:
Bachelor’s degree in business, legal studies, risk management, compliance or related field
5+ years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, and/or other relevant experience
2+ years of experience in insurance, registered investment adviser, retirement, investment, financial crimes, consumer affairs, regulatory change management, testing and monitoring, or other financial services compliance functions
Experience working with business partners, Investments, Risk, Legal, Compliance, Operations, Sales, Marketing, product teams, or other stakeholders to support compliant business practices and process improvements
Knowledge of applicable state insurance, NAIC, SEC, ERISA, DOL, IRS, AML, fraud, privacy,