Transamerica Corporation
Regional Compliance Officer - Transamerica
Job Description
Drive compliance excellence at Transamerica in the role of Regional Compliance Officer, focusing on Approved Persons and pivotal compliance functions. Impact the integrity of financial services.
This position is tailored for professionals with a minimum of two years in compliance within the financial services industry. You will review KYC processes and facilitate client transactions, directly supporting APs. Understanding WFGS policies and conducting essential audits will be key to your success in this role.
Key Responsibilities:
• Execute pre-trade KYC reviews accurately
• Interact with clients for transaction facilitation
• Conduct tier-1 trade reviews and audits
• Serve as a crucial support resource for APs
• Review supervisory requirements for APs as needed
Requirements:
• Two years of compliance experience required
• Working knowledge of financial regulations and audits
• Required completion of multiple industry-specific courses
• High attention...
This position is tailored for professionals with a minimum of two years in compliance within the financial services industry. You will review KYC processes and facilitate client transactions, directly supporting APs. Understanding WFGS policies and conducting essential audits will be key to your success in this role.
Key Responsibilities:
• Execute pre-trade KYC reviews accurately
• Interact with clients for transaction facilitation
• Conduct tier-1 trade reviews and audits
• Serve as a crucial support resource for APs
• Review supervisory requirements for APs as needed
Requirements:
• Two years of compliance experience required
• Working knowledge of financial regulations and audits
• Required completion of multiple industry-specific courses
• High attention...