Hiring: Lead Compliance Analyst - Advisory Company: Transamerica Location: Baltimore, MD Job Posted Time: 2026-09-16 14:49:35 Employment Type: Remote Target Skills & Keywords : Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Regulatory Compliance, Risk Management, Series 7 About the job Required Skills: •Serve as a lead resource for assigned advisory compliance programs, regulatory initiatives, monitoring activities, and compliance projects, including regulatory oversight, risk assessment, and policy implementation for advisory programs, products, and services. •Interpret and assess the impact of new and existing SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the firm’s advisory business. •Actively facilitate and support maintenance and ongoing enhancement of the firm’s compliance program, including policies and procedures, Code of Ethics, compliance testing, monitoring activities, risk assessments, and regulatory documentation. •Coordinate the preparation, review, and maintenance of regulatory disclosures including Form ADV Parts 1, 2A, 2B brochure supplements, 13F, and 13H. •Identify regulatory risks, conflicts of interest, control gaps, trends, and process improvement opportunities; prepare reports and recommend practical solutions to strengthen compliance oversight; assist in the implementation of solutions as necessary. •Provide compliance guidance and support to business partners, financial professionals, and firm personnel regarding advisory compliance requirements, fiduciary responsibilities, SEC regulations, and firm policies. •Partner cross-functionally with Legal, Operations, Product, Supervision, Compliance, and business partners to support compliant implementation of new products, services, operational changes, and strategic initiatives. •Support regulatory examinations, audits, inquiries, investigations, and information requests by coordinating documentation collection, performing analyses, assisting with responses, and supporting remediation activities. Qualifications: •Bachelor’s degree in business, finance, or other relevant field, or equivalent education and experience. •Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or other relevant experience •Strong working knowledge of the Investment Advisers Act of 1940, SEC rules and regulations applicable to registered investment advisers, and fiduciary obligations. •Knowledge of advisory products, investment management services, advisory fee arrangements, and related regulatory requirements. •FINRA Series 7, 24, and 65/66 licenses, or ability to obtain required licenses within a specified timeframe. •Excellent written and verbal communication skills, including the ability to communicate regulatory requirements and compliance expectations to diverse audiences. •Demonstrated capacity to research, analyze, and interpret complex regulatory requirements and assess business impacts. •Proficiency with Microsoft Office applications, advanced Excel and PowerPoint skills. •Strong analytical, critical thinking, problem-solving, and organizational skills. •Demonstrated capacity to independently manage multiple priorities, deadlines, projects, and regulatory initiatives. Compensation: •$90,000 - $100,000 / 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!