Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid) position at Transamerica.| United States Of America

_{Posted 30+ Days Ago} bot

Transamerica Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)

Experience: 5-years

Pattern: full-time

Country:

Copy Link Report

OND

Cedar Rapids, ..........United States Of America

Job Family Regulatory Compliance 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. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.     Who We Are   We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life . Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms. What We Do 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 transamerica.com .  Job Description Summary Direct the day to day operations of the compliance department. Analyze and resolve problems regarding state insurance departments complaints, changes in laws and regulations, investigations (AML, fraud, market conduct) or filings/correspondence with state insurance departments. Job Description 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. Responsibilities : Develop and execute oversight programs for agents, agencies and broker dealers selling insurance and annuity products. Monitor agent, agency, and broker dealer activities for compliance with state, federal, and company regulations. Review sales practices, suitability, and documentation to ensure adherence to standards. Analyze trends and patterns in agents performance and compliance issues to recommend training and process improvements. Lead a team responsible for insurance and annuity agent monitoring, support and compliance Identify and assess potential compliance risks related to agent behavior and sales practices. Direct and assign projects to technical and administrative staff. Review projects for completeness and overall performance of compliance department staff. Determine impact on administrative and marketing functions in regard to legislation changes. Assist in the development of new marketing materials and concepts. Create response to complex complaints. Oversee complex investigations. Initiate projects to improve the efficiency of the compliance department. Develop analytical abilities of technical staff to enable them to achieve degree of expertise. Establish departmental policies and procedures. Prepare reports on operation of department. Represent the company at various industry related meetings. Assist in evaluating overall Compliance Risk factors. Assist the legal department with state insurance department audits, corporate audits, and internal audits. 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. Qualifications: Bachelor’s degree in business, marketing, political science, pre-law, paralegal or other relevant area. Minimum of 5 years insurance or securities experience. Strong knowledge of insurance and annuity products and regulatory requirements (FINRA, NAIC, state insurance laws, etc.) regarding financial crimes and insurance compliance. Preferred Qualifications: At least 1 year supervisory experience preferred. Excellent written and verbal communication skills. Advanced analytical, interpretive, organizational and negotiations skills. Understanding of contract law and company operations. Working Conditions: Hybrid office environment (3 days per week): Baltimore/Cedar Rapids/Denver/Philadelphia #LI-BD1 Compensation: 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. 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

Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid) job opportunity at Transamerica.

Saved Jobs

No Job Saved

Other Ai Matches