Sr Mgr Compliance - TFA

Transamerica•Cedar Rapids, IA

3d•Hybrid

About The Position

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. Reporting to the Chief Compliance Officer, this role is ideal for a hands-on compliance leader who brings deep regulatory expertise, strong judgment, and proven people leadership. Assist the Divisional Compliance Officer/Director, Compliance in supervising or managing multiple functions, activities and operations of the business units'/divisions' Compliance Departments. Prevent, detect and assist in resolving potential violations of state and federal laws and regulations and the rules of self-regulatory and industry ethical standards organizations.

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

Nice To Haves

Insurance license.
Experience in the insurance industry or with insurance products.
Experience with compliance surveillance tools or AI‑enabled research platforms (Co-Pilot, LexisNexis).
Familiarity with FIS or similar compliance systems.

Responsibilities

Support the Chief Compliance Officer by identifying regulatory risk, evaluating control gaps, and driving compliance strategy.
Lead advisory compliance for the RIA, including policies and procedures, Form ADV management, and regulatory filings (e.g., 13F, 13H).
Oversee broker‑dealer and RIA surveillance programs, including risk‑based transaction reviews and trend analysis.
Manage back‑end surveillance of securities activity and affiliated insurance business
Partner with Supervision and business leaders to investigate, escalate, and resolve potential compliance issues.
Monitor regulatory developments impacting the broker‑dealer, RIA, and insurance activities and guide implementation across the organization.
Lead, mentor, and develop compliance advisory and surveillance teams, fostering a strong culture of accountability and continuous improvement.
Support and drive the continuous improvement of team performance by tracking Key Performance Indicators, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
Develop and deliver compliance training for home‑office and field audiences.
Leverage compliance surveillance tools and emerging technologies to enhance risk identification and program effectiveness

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