Hiring: Lead Compliance Surveillance Analyst Company: Transamerica Location: Cedar Rapids, IA Job Posted Time: 2026-09-16 13:49:35 Employment Type: Contract / Remote Target Skills & Keywords : Microsoft Office, Quality Assurance, Regulatory Compliance, Risk Management, Series 7 About the job Required Skills: •Review and evaluate existing policies, procedures, surveillance methodologies, monitoring controls, and risk management practices to identify opportunities for enhancement. •Recommend and support the implement of process improvements, surveillance enhancements, and controls designed to mitigate agent oversight, conduct and sales practice risk. •Lead and support the design, development, and testing, of new or enhanced surveillance scenarios, risk indicators, reporting, analytics, procedures, and enterprise-wide initiatives. •Develop, analyze, produce, and present management reporting that summarizes surveillance activity, trends, findings, root causes, emerging risks, corrective actions recommendations for strengthening controls and improving compliance oversight. •Support regulatory examinations, audits, inquiries, internal reviews, and information requests by gathering documentation, preparing analyses, coordinating responses, and assisting with remediation efforts to address identified findings and strengthen control environments. •Determine and coordinate appropriate case outcomes, including additional monitoring, corrective action, remediation, escalation, or referral to Compliance, Legal, Distribution, Licensing, Fraud/SIU, or other business partners. Qualifications: •Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience. •Five years of regulatory, securities, or advertising compliance experience. •Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications. •Securities and some advertising industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing. (Series 7 & 24 or Series 6 & 26, as applicable) •Written and verbal communication skills. •Proficiency using MS Office tools. •Hybrid office environment (Tuesday, Wednesday, Thursday) •Locations: Denver, Cedar Rapids, Philadelphia, Baltimore 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!