Senior Regulatory Compliance Analyst - Investment Compliance

Transamerica

. Own assigned investment compliance monitoring, surveillance, testing, regulatory change management initiatives, and compliance projects from planning through remediation .

Posted 10/22/2026full-timeUnited StatesSenior💰 $85,000 - $95,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in investment compliance monitoring, regulatory change management, and risk assessment, with a strong ability to analyze and interpret complex regulatory requirements. Proficient in developing and executing compliance programs, enhancing governance frameworks, and collaborating with cross-functional teams.

Highest-signal resume keywords

Investment Compliance MonitoringRegulatory Change ManagementRisk AssessmentControl TestingRegulatory Requirements Analysis

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceRisk ManagementControl TestingMonitoring PracticesPolicy ReviewIssue IdentificationRemediation ProcessesData AnalysisInvestment GuidelinesValuation Processes

Soft Skills

Strong Written CommunicationStrong Verbal CommunicationAnalytical SkillsCritical-Thinking SkillsProblem-Solving SkillsOrganizational SkillsAttention to Detail

Tools & Technologies

Microsoft OfficeAladdin Guideline Monitoring System

Certifications & Qualifications

FINRA Securities RegistrationsState Insurance LicensesCompliance Certifications

Industry Keywords

InsuranceSecuritiesFinancial ServicesInternal AuditNAICSECERISADOLIRSAML

About the role

Key responsibilities & impact

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 for investment guidelines, portfolio restrictions, regulatory requirements, and internal policies
Review investment activities, portfolio management practices, trading activity, investment operations, valuation processes, controls, policies, and procedures
Research and interpret current, new, and proposed laws, regulations, accounting standards, regulatory guidance, and industry developments
Identify emerging investment compliance risks, regulatory developments, control deficiencies, and governance gaps across General Account investment activities
Recommend enhancements to controls, oversight processes, and governance frameworks
Coordinate regulatory examinations, state insurance department reviews, internal and external audits, risk assessments, inquiries, and investigations
Facilitate information requests, assess documentation, draft responses, track findings, and support remediation
Document testing procedures, results, assessments, findings, recommendations, and corrective action plans
Track remediation and collaborate with CIO Office, Audit, Risk Management, Legal, Accounting, Valuation, Treasury, and Operations teams
Draft, review, maintain, and enhance investment compliance policies, procedures, standards, reports, regulatory inventories, issue logs, guideline inventories, and governance documentation
Advise investment professionals and business partners on investment regulatory requirements, portfolio compliance, investment guidelines, control design, new strategies, and regulatory expectations
Contribute to the investment compliance framework, governance processes, risk assessments, monitoring programs, surveillance capabilities, training, and regulatory change management
Represent Investment Compliance on committees, working groups, and strategic initiatives involving asset classes, investment vehicles, derivatives, private investments, external managers, strategies, technology, and regulatory developments
Assist the Head of Investment Compliance with complex matters, mentor junior compliance professionals, and support development of the General Account investment compliance function
May require occasional travel for meetings, training, regulatory matters, examinations, audits, governance meetings, industry forums, or business partner support

Requirements

What you’ll need

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
Knowledge of applicable state insurance, NAIC, SEC, ERISA, DOL, IRS, AML, fraud, privacy, and/or other regulatory requirements
Knowledge of regulatory compliance concepts, control testing, monitoring practices, policy and procedure review, issue identification, and remediation processes
Ability to perform complex research and analyze and interpret regulatory requirements, policies, procedures, data, and business processes
Strong written and verbal communication skills
Analytical, critical-thinking, problem-solving, and organizational skills with strong attention to detail and accuracy
Ability to manage multiple priorities, deadlines, reviews, requests, and projects with minimal supervision
Proficiency using Microsoft Office tools
Applicants must possess legal authorization to work in the U.S. without immigration sponsorship
FINRA securities registrations, state insurance licenses, compliance certifications, or industry designations based on assigned responsibilities (preferred)
Experience using the Aladdin guideline monitoring system (preferred)

Benefits

Comp & perks

Annual bonus based on the Company Bonus Plan/Individual Performance
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, including Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year for 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
Relocation assistance will not be provided