Senior Compliance Analyst - Retirement Solutions

Compliance Program Support Specialist

Supports Transamerica's retirement compliance program for record-keeping and fiduciary administration services provided to our qualified retirement plan clients. Helps to mitigate legal exposure / risk to the organization by enforcing company policies, procedures and applicable regulatory requirements. Possesses and applies broad knowledge of business and regulatory concepts and principles; works with minimal instruction or guidance with applicable latitude for unreviewed action or decisions; performs more complex assignments with minimal direction and guidance from management.

Responsibilities :

• Perform risk-based independent compliance testing for the record-keeping and fiduciary administration affiliates.
• Maintain and update assigned compliance risk assessments, as part of the team's annual compliance monitoring plan.
• Monitor federal / state laws and regulations, as well as applicable rulings, notices and guidance, as they pertain to qualified retirement plan administration and record-keeping services, and advise senior leadership of impact to current processes.
• Evaluate process workflows / maps to identify potential areas of risk (e.g. regulatory, legal, operational, reputational, etc.) and effectiveness of key controls.
• Act as a trusted advisor to the record-keeping and fiduciary administration affiliates regarding best practices and remediation of regulatory compliance concerns.
• Contribute to the development of new and / or enhanced compliance programs and enterprise-wide initiatives.
• Update and maintain complete and accurate compliance logs or files.
• Assist team members with research and assigned tasks.
• Create and present compliance training, as necessary.
• May assist management with highly complex projects and coaching / development of staff.
• Maintain open communication with business process owners on testing scope, objectives and progress.
• Coordinate and conduct meetings and interviews with business process owners and staff; gather data, procedures and other documentation necessary for performing assigned compliance testing.
• Propose testing scope, review internal controls and compare records, operating practices, and documentation with test attributes applicable to assigned audits.
• Document tests and findings; appraise adequacy of internal compliance controls, propose recommendations and coordinate / document corrective action plans.
• Draft compliance reports and present / discuss findings with business process owners and senior management.
• Active participation in the periodic compliance risk assessment process, development of annual testing plans, scheduling / assignment of testing, and design of compliance testing programs.

Qualifications :

Preferred Qualifications :

Working Conditions :

Compensation :

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

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 :

Benefits Package :

Health and Work / Life Balance Benefits :

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.