Advertising Compliance Manager - Hybrid

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.

Regulatory Compliance

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

Direct the day-to-day Advertising Compliance operations for the WFG & TFA organizations. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency regarding the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.

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.

• Establish and maintain departmental policies and procedures.
• Review complex marketing material ensuring adherence to firm policy and regulatory standards.
• Manage a team of compliance analysts, providing ongoing training and support.
• Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
• Foster strong vendor relationships with advertising related vendors supporting firm tools.
• Develop and provide training to WFG and TFA Financial Professionals.
• Provide mentorship and assist in analyzing the impact of regulatory changes related to Advertising Compliance.
• Handle matters of escalation, supporting and developing team members in the process.
• Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.

• Bachelor’s degree
• A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance
• 1 year of managerial experience
• FINRA Series 7/24 or obtained within 6 months of employment
• Excellent written and verbal communication skills
• Advanced analytical skills, interpretive, organizational and negotiation skills

• FINRA Series 65/66

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

• The Salary for this position generally ranges between $100,000 - $110,000 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.

Note:

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. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner…