Transamerica · 2 days ago
Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
Cedar Rapids, IA
Full-time
Hybrid
Senior Level
5+ years expTransamerica is a financial services company that has been serving everyday people for over a century. They are seeking a Compliance Manager to oversee the day-to-day operations of the compliance department, ensuring adherence to regulations and managing compliance risks related to agents and sales practices.
Financial ServicesImpact InvestingInsurance
No H1B
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 key KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency
Qualification
Required
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
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
Benefits
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 (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
Company
Transamerica
Transamerica is a private holding company that provides services for various life insurance companies and investment firms. It is a sub-organization of Aegon.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
unknown1999-02-19Acquired
Leadership Team
Will Fuller
Chief Executive Officer
Andrew Yorks
Chief Investment Officer
Recent News
2025-12-21
Company data provided by crunchbase