Regulatory Compliance Manager overseeing compliance matters for a leading international financial institution. Ensuring alignment with regulatory requirements across corporate and investment banking businesses in an international environment.
About the role
- Compliance Analyst at Transamerica enforcing regulatory requirements and company policies while mitigating risk. Involving policy review, compliance program development, and team guidance in a hybrid setting.
Responsibilities
- Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements.
- Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
- Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
- Analyze processes, services and products, and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
- Compile information for completion of reporting, including reports for management and state/federal regulators.
- With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
- Update and maintaining complete and accurate policies, procedures, compliance logs or files.
- Assist team members with research and assigned tasks; provide training to supported teams.
Requirements
- Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
- Four years of regulatory, securities, or advertising compliance experience.
- Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
- Securities and some advertising industry positions require comprehensive knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
- Written and verbal communication skills.
- Analytical and research skills.
- Proficiency using MS Office tools.
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
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