Sr Mgr Compliance - TFA

Transamerica Financial Advisors (TFA) is seeking an experienced Senior Manager, Compliance to help lead and strengthen our compliance program supporting our retail broker dealer and registered investment advisor (RIA) businesses.

Requirements

• Bachelor’s degree in business, accounting, or a related field.
• 8+ years of compliance or regulatory experience in a retail broker‐dealer and RIA environment.
• 3+ years of people leadership experience.
• Strong working knowledge of SEC, FINRA, and state securities regulations.
• Active Series 7, 24, and 66 licenses.
• Excellent communication, analytical, research and problem‐solving skills.
• Extensive experience with MS Office tools

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