Transamerica is hiring: Advertising Compliance Manager in Denver

Job Overview

Advertising Compliance Manager at Transamerica

Job Family: Regulatory Compliance

Job Description Summary
Direct the day-to-day Advertising Compliance operations of the compliance department. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency in regard to the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.

Responsibilities

• Establish and maintain departmental policies and procedures.
• Review complex marketing material ensuring adherence to firm policy and regulatory standards.
• Manage a team of compliance analysts, providing ongoing training and support.
• Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
• Foster strong vendor relationships with advertising related vendors supporting firm tools.
• Develop and provide training to WFG and TFA Financial Professionals.
• Monitor for and assist in analyzing the impact of regulatory changes related to Advertising Compliance.
• Handle matters of escalation, supporting and developing team members in the process.

Qualifications

• Bachelor’s degree in business, marketing, political science, pre-law, paralegal or other relevant area.
• A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance.
• FINRA Series 7/24
• At least 1-year of managerial experience.
• Excellent written and verbal communication skills.
• Advanced analytical skills, interpretive, organizational and negotiation skills.

Preferred Qualifications

• FINRA Series 65/66

What We Offer

• Comprehensive benefits package designed to support both personal and financial well-being of our employees.
• Competitive pay and bonus eligibility based on company plan and individual performance.

Additional Information

Transamerica is part of Aegon. This description reflects typical duties and responsibilities but is not intended to be an exhaustive list of all tasks, duties, or responsibilities. Compensation information provided as a good faith estimate and may vary by location and statutory requirements.