Intermediate Compliance Analyst - Advertising Reviewer (FINRA lic...
Aegon Asset Management - Denver, Colorado, United States, 80238![Aegon Asset Management](/api/image?src=https%3A%2F%2Fgeneral-board-default.s3.us-east-2.amazonaws.com%2Fpublic%2Fimages%2Fdesk-360x180.webp&w=640&q=75&f=webp)
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Overview
www.transamerica.com .Who We AreTransamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products , including mutual funds, annuities, stable value solutions, as well as investment management services.What We DoTransamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).Job Description SummaryTransamerica is currently seeking professional candidates for the role of Advertising Reviewer. This individual will report to the Compliance Manager and will be responsible for the day-to-day review of communications with the public; ensuring that all communications comply with federal and state regulatory standards.Job DescriptionResponsibilities:+ Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.+ Determine whether regulatory filings of advertising is required and coordinate as needed.+ Maintain final copies of advertising and other related documentation.+ Perform special projects as assigned.+ Participate in regulatory and corporate audits for advertising compliance.+ 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.+ Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.+ Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.+ 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.+ Manage, oversee and analyze reports from third parties (e.g., sub advisors, audit firms)+ Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.+ 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. Qualifications:+ Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.+ Two years of regulatory, securities, or advertising compliance experience.+ Comprehensive knowledge of securities laws, regulations, rules, and applicable FINRA licensing (Series 6 & 26, or able to obtain within 90 days).+ Strong written and verbal communication skills.+ Analytical and research skills.+ Proficiency using MS Office tools.Preferred Qualifications:+ Series 7 & 24, or able to obtain within 90 days.+ Ability to work in a fast-moving team.Our Culture:At Transamerica we promote a Future Fit mindset. What is a Future Fit mindset?+ Acting as One fosters an environment of positive collaboration.+ Accountability allows us to own the problem as well as the solution.+ Agility inspires new ideas, innovation and challenges the status quo.+ Customer Centricity encourages an above and beyond approach to our customer.Work location:+ Remote or hybrid location (candidates in Denver, CO or Cedar Rapids, IA may be required to come into the office 1-3 days per week).Compensation:**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**The Salary for this position generally ranges between $60,000 - $70,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.Bonus Eligibility:This position is also typically eligible for an Annual Bonus target of 7.5% based on the Company Bonus Plan/Individual Performance and is at Company 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 to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.What We OfferFor 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 Em ployeesBenefits Package+ Pension Plan+ 401k Match+ Employee Stock Purchase Plan+ Tuition Reimbursement+ Disability Insurance+ Medical Insurance+ Dental Insurance+ Vision Insurance+ Employee Discounts+ Career Training & Development OpportunitiesHealth 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 s ervice at the time of birth, placement of an adopted child, or placement of a foster care child.+ Adoption Assistance+ Employee Assistance Program+ College Coach 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+ Peer Recognition Program (BRAVO)* As of December 31, 2022Inclusion & DiversityWe 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 - sponsor ed, 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 BackWe 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, th e foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.ransamerica.com/why-transamerica/aegon-transamerica-foundationTransamerica’s Parent CompanyAegon (egon.com/) acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 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.At Transamerica, hard work, innovative thinking , and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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.Transamerica is a part of A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit
www.transamerica.com .* As of December 31, 2022For more information about Transamerica’s privacy practices, click here. (om/sites/default/files/files/e070d/job\_app\_0123.pdf)