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Senior Registered Compliance Officer – Surveillance
Transamerica. Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee and registered representative activity .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance, risk management, and securities transactions, with a strong ability to analyze complex business processes and provide practical compliance guidance. Proficient in developing compliance monitoring programs and conducting thorough documentation and reporting.
Highest-signal resume keywords
Regulatory ComplianceRisk ManagementSecurities TransactionsFINRA Series 7 And 24Compliance Monitoring
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk-Based AssessmentsTransaction MonitoringException ReportingCompliance TestingIssue ResolutionRegulatory ExaminationsDocumentationAnalysisSurveillancePolicy Interpretation
Soft Skills
Strong Written CommunicationStrong Verbal CommunicationCoachingGuidanceKnowledge Sharing
Tools & Technologies
Microsoft OfficeCompliance SystemsWorkflow SystemsSurveillance SystemsCase Management Systems
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA Series 6FINRA Series 26FINRA Series 65FINRA Series 66
Industry Keywords
SecuritiesFinancial ServicesBroker-Dealer ComplianceInvestment ComplianceInternal Audit
Tech Stack
Tools & technologiesNFS
About the role
Key responsibilities & impact- Conduct risk-based surveillance of securities transactions, sales practices, outside brokerage accounts, and employee and registered representative activity
- Develop and execute complex compliance monitoring, testing, reviews, risk-based assessments, and surveillance
- Analyze business processes, policies, procedures, communications, transactions, complaints, disclosures, and assigned activity to identify risks, issues, trends, and control gaps
- Interpret applicable laws, regulations, regulatory guidance, firm policies, and procedures to provide practical compliance guidance
- Perform or oversee transaction monitoring, exception reporting, and outside brokerage account surveillance
- Evaluate exceptions, document results, and escalate potential compliance risks with recommended next steps
- Document findings, recommendations, management responses, supporting evidence, alert dispositions, and escalations
- Coordinate responses to regulatory examinations, inquiries, internal reviews, audits, investigations, and information requests
- Identify root causes, recurring issues, and emerging risks and recommend corrective actions or process enhancements
- Contribute to new or enhanced compliance programs, monitoring plans, testing programs, training, tools, and procedures
- Support business initiatives, regulatory changes, and enterprise projects by evaluating compliance impacts
- Provide coaching, training, guidance, or knowledge sharing to less experienced team members
Requirements
What you’ll need- Bachelor’s degree in business, legal studies, risk management, compliance or related field
- 5+ years of regulatory compliance, securities, financial services, risk management, internal audit, testing, monitoring, or other relevant experience
- 2+ years of experience supporting broker-dealer, registered investment adviser, insurance, retirement, or investment compliance functions
- FINRA Series 7 and 24 or Series 6 and 26, dependent on broker-dealer activities; or obtain within 6 months of job entry date
- Strong knowledge of securities and/or advisory products and associated laws, regulations, regulatory expectations, firm policies, and compliance practices
- Experience with regulatory examinations, complaints, surveillance, advertising review, branch inspections, supervisory controls, testing, monitoring, or issue remediation
- Experience performing complex research, analysis, documentation, and issue resolution
- Strong written and verbal communication skills, including the ability to document findings, summarize risks, explain recommendations, and advise business partners and management
- Ability to manage complex assignments with minimal supervision and escalate significant risks or decisions appropriately
- Proficiency using Microsoft Office tools and compliance, workflow, surveillance, case management, reporting, or document management systems
- Legal authorization to work in the U.S. without immigration sponsorship
- Preferred: FINRA Series 65 or 66, or other FINRA registrations
- Preferred: Experience with FIS Protegent and/or NFS Wealthscape
Benefits
Comp & perks- Competitive Pay
- Bonus for Eligible Employees
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Paid Time Off starting at 160 hours annually for employees in their first year of service
- Ten (10) paid holidays per year
- 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
- 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