Digital Communications Surveillance Analyst at S&P Global Ratings monitoring electronic communications for regulatory compliance. Collaborating with global teams and identifying potential compliance issues.
About the role
- Advertising Compliance Manager overseeing compliance operations for WFG & TFA organizations at Transamerica. Managing a compliance team and ensuring adherence to regulatory standards.
Responsibilities
- Direct the day-to-day Advertising Compliance operations for the WFG & TFA organizations.
- Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency regarding the application of firm policy and regulatory standards.
- Foster strong vendor relationships.
- Establish and maintain departmental policies and procedures.
- Review complex marketing material ensuring adherence to firm policy and regulatory standards.
- Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
- Develop and provide training to WFG and TFA Financial Professionals.
- Provide mentorship 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.
- Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
Requirements
- Bachelor’s degree
- A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance
- 1 year of managerial experience
- FINRA Series 7/24 or obtained within 6 months of employment
- Excellent written and verbal communication skills
- Advanced analytical skills, interpretive, organizational and negotiation skills
Benefits
- Competitive Pay
- Bonus for Eligible Employees
- Benefits Package
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Health 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 service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance
- Employee Assistance 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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Senior Director overseeing Quality & Regulatory Strategy for innovative medical device company. Partnering with executives to drive compliance and operational excellence in a regulated environment.
Risk & Compliance Manager overseeing compliance frameworks at Plenti, a growing fintech lender. Bridging regulatory compliance and operational risk to support sustainable growth.
Compliance Testing Manager responsible for planning and executing compliance testing and validations. Leading specialist teams while ensuring regulatory compliance in the U.S. banking sector.
Senior Business Management Specialist leading significant compliance strategy and governance activities for TD Bank. Managing risk and oversight processes while collaborating across multiple functions.
Senior Information Security Analyst ensuring compliance and data privacy at VERO. Involved in governance, risk management, and promoting security culture.
Regulatory Affairs Assistant focused on pharmaceutical - related logistics at PINEX. Engaging in regulatory analysis, documentation, and compliance monitoring.
Regulatory Compliance Specialist overseeing compliance for Arc'teryx raw materials and goods. Collaborating across teams to uphold regulatory frameworks and ensure consumer safety with legal standards in focus.
Head of Compliance at Compass managing enterprise risk, information security, and multi - jurisdictional regulatory compliance. Building compliance frameworks in an exciting high - growth SaaS environment.
Regional Regulatory Lead overseeing EUCAN regulatory strategy for pharmaceutical projects and products. Planning submissions, coordinating meetings, and collaborating with regulatory authorities.