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Director, Compliance - Insurance


in Telecommute / Harrison NY / Norwood MA

Logo for Transamerica

Job Description Summary

The Director of Compliance will assist the Workplace Solutions Compliance Officer and Division General Counsel with administering the compliance program for the Workplace Solutions Employee Benefits business line by ensuring, maintaining and monitoring compliance with legal and regulatory requirements related to group and individual supplemental health and life insurance products, including issuance of policies to employer groups.

This role requires compliance experience with subject matter expertise in voluntary insurance plans, and works closely with the operations, legal, underwriting, sales, marketing, and product development teams on the application of federal and state laws and regulations and ERISA, ACA, and HIPAA rules as they relate to the issuance and regulation of supplemental health and life insurance plans.

Job Description


  • Manages compliance functions with minimal supervision.
  • Develops, maintains, and updates compliance policies and procedures.
  • Manages compliance monitoring and testing program.
  • Recommends corrective action or revisions to policies and procedures based upon findings from compliance testing, internal audits, regulatory examinations, investigations and/or industry trends.
  • Develops reports for the Compliance Officer or General Counsel and/or corporate management concerning compliance and market conduct issues and activities.
  • Monitors regulatory and legislative changes and assesses the impact on business operations.
  • Manages regulatory examinations, corporate audits, and internal audits.
  • Manages highly complex compliance matters with minimal supervision.
  • Assists the Compliance Officer and/or appropriate Operational Risk Management personnel in assessing compliance risks and prepares such reports to management as may be appropriate concerning such risks.
  • Directs and assigns projects and provides guidance to Compliance staff, as appropriate, to improve the efficiency of the department.
  • Represents the company on industry committees regarding various regulatory issues.
  • Promotes and fosters a culture of compliance.
  • Develops and delivers compliance training.


  • Eight or more years of compliance insurance experience required, with at least one year experience at a supervisory or management level.
  • Bachelor’s degree required.
  • Appropriate licenses may be required.

Preferred Qualifications

  • Insurance compliance experience including an advanced understanding of regulatory and legal requirements related to group and individual supplemental health and life insurance products. 
  • Ability to effectively communicate, both written and oral, with the intended audience.
  • Ability to exercise sound judgment in a fast-paced environment.
  • Strong interpersonal, analytical, and research skills.
  • Ability to exercise agility and adaptability in providing guidance and solutions.
  • Comfortable in a rapidly changing corporate environment which may include working remotely.
  • Proficient using MS Office.

Working Conditions

  • Normal office environment and/or work from home.

How to Apply

Apply Now

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