Aegon · 7 hours ago
Sr Compliance Analyst - WFG & TFA
United States
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $85K/yr
4+ years expAegon is seeking a Senior Compliance Analyst to help mitigate legal exposure and enforce company policies and regulatory requirements. The role involves reviewing and analyzing policies, contributing to compliance programs, and providing guidance to ensure adherence to regulatory standards.
Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement
Responsibilities
Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives
Analyze processes, services and products, and provide ongoing guidance to ensure compliance with regulatory and statutory requirements
Compile information for completion of reporting, including reports for management and state/federal regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement
Update and maintaining complete and accurate policies, procedures, compliance logs or files
Assist team members with research and assigned tasks; provide training to supported teams
Qualification
Required
Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
Four 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 comprehensive 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
Analytical and research skills
Proficiency using MS Office tools
Benefits
Annual Bonus of 10% based on the Company Bonus Plan/Individual Performance
Company
Aegon
Aegon offers products and services in the life insurance, pension, retirement, and asset management fields.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$760M2024-04-10Post Ipo Debt· $760M
1999-04-01IPO
Leadership Team
Lard Friese
Chief Executive Officer
Duncan Russell
Chief Financial Officer
Recent News
2026-01-22
GlobeNewswire
2026-01-12
Alternative Credit Investor
2026-01-03
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