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.
About the role
- Intermediate Compliance Analyst role at Transamerica focusing on conflicts review and regulatory compliance. Performing updates, monitoring data accuracy, and collaborating with business partners.
Responsibilities
- Perform updates to employee conflicts reporting system to ensure access.
- Perform regular monitoring tasks to ensuring data accuracy and timely task completion in the conflicts reporting system.
- Approve ethics and conflict of interest disclosures with some assistance from more senior team members.
- Identify process improvement opportunities and recommend updates
- Work collaboratively with business partners to help resolve straightforward compliance cases as assigned.
- Stay informed about regulatory updates and assist with updating procedures as directed.
- Participate in the gathering of data and preparation of responses to information requests from management, auditors and regulators.
- Protect the confidentiality and integrity of sensitive information in all compliance activities.
Requirements
- Bachelor’s degree in business, marketing, pre-law or other field, or equivalent education and experience.
- Two years of regulatory, securities, or ethics-related experience.
- Series 7 & 24 licenses or the ability to obtain both within 9 months
- Written and verbal communication skills.
- Analytical and research skills.
- Proficiency using MS Office tools.
- Experience with data analytics software such as Power BI preferred
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
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