Hiring: Compliance Manager - Surveillance Company: Transamerica Location: Baltimore, MD Job Posted Time: 2026-09-16 12:49:35 Employment Type: Contract / Remote Target Skills & Keywords : Microsoft Excel, Microsoft Office, Quality Assurance, Regulatory Compliance, Risk Management, Series 7 About the job Experience: •5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams. •10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams. Required Skills: •Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk. •Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls. •Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards. •Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations. •Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments. •Partner cross-functionally with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls. •Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements. •Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners. Qualifications: •Bachelor's degree in business, communications, finance or other relevant field, or equivalent and experience •FINRA Series 7 and 24, or other FINRA registrations required by assigned responsibilities. •Extensive knowledge and understanding of securities and advisory products, including applicable regulatory, supervisory, and sales practice requirements. •Strong leadership, judgment, critical thinking, analytical, investigative, and decision-making skills, with the ability to manage competing priorities and guide others through complex issues. •Demonstrated capacity to interpret regulatory requirements and company policies, translate requirements into practical program expectations, and drive implementation through communication, training, coaching, and collaboration. •Excellent written and verbal communication skills, including the ability to present complex issues, trends, risks, and recommendations to senior leaders, business partners, auditors, and regulators. •Excellent skills using Microsoft Office tools, specifically Excel and ability to create pivot tables •Advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness. •Hybrid office environment (Tuesday, Wednesday, Thursday) •Locations: Denver, Cedar Rapids, Baltimore, Philadelphia Compensation: •$100,000 - $115,000 / year •Flexible work environment (work from home / hybrid options) •Competitive benefits and rewards package Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!