Advertising Review - Senior Compliance Analyst - Hybrid

Job Description

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Responsibilities:

• Review and approve company, product, and producer advertising materials in accordance with company guidelines and applicable state/federal rules and regulations.

• Review advertising material submitted by financial professionals; ensuring uniform application of departmental and regulatory policies.

• Monitor and review social media and web content published or maintained by financial professionals and assist in the remediation of any violations discovered.

• Provide guidance and support to business partners (e.g., Sales and Marketing) in their creation of business content and work to identify possible solutions to accomplish their advertising goals while mitigating risk.

• Update and maintain complete and accurate compliance logs or files to aid in reporting to senior leadership and regulators. With minimal supervision, perform analysis, identify trends, and follow up on opportunities for enhancement.

• Assist team members with research and assigned tasks; provide training to supported teams and contribute to the development of new and/or enhanced compliance programs.

• Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.

Qualifications:

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience

• Four years of regulatory, securities, or advertising compliance experience

• Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications

• FINRA Series 6 & 26

• Excellent written and verbal communication skills

• Analytical and research skills

• Proficiency using MS Office tools

Preferred Qualifications:

• FINRA Series 7 & 24

Working Conditions:

• Hybrid office environment (3 days a week in office): Baltimore/Cedar Rapids/Denver/Philadelphia

Compensation:

• The Salary for this position generally ranges between $75,000 - $85,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

• Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

#LI-BD1

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 ito perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

Disclaimer:
Beware of fake job offers!

We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

• We will never request personal information such as ID or payment for equipment upfront.

• Official offers are sent via DocuSign following a verbal offer—not through text or email.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay

• Bonus for Eligible Employees

Benefits Package

• Pension Plan

• 401k Match

• Employee Stock Purchase Plan

• Tuition Reimbursement

• Disability Insurance

• Medical Insurance

• Dental Insurance

• Vision Insurance

• Employee Discounts

• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.

• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars

• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.

• Adoption Assistance

• Employee Assistance Program

• Back-Up Care Program

• PTO for Volunteer Hours

• Employee Matching Gifts Program

• Employee Resource Groups

• Inclusion and Diversity Programs

• Employee Recognition Program

• Referral Bonus Programs

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

* As of December 31, 2023