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Compliance Risk Jobs in Colorado (NOW HIRING)

Aegon

Sr Director, Investment Compliance

Denver, CO

Partner with Legal, Risk Management, Internal Audit, and Enterprise Compliance to ensure alignment across the three lines of defense. * Serve as a strategic compliance partner to senior investment ...

Modivcare, Inc.

IT Controls & Compliance Analyst

Denver, CO · On-site

$96K - $97K/yr

Manages and optimizes Governance, Risk & Compliance (GRC) processes, workflows, tooling, reporting, and monitoring activities supporting control testing, audit readiness, evidence management ...

Cherry Bekaert

Risk Advisory Senior Manager

Denver, CO · On-site +1

$119K - $215K/yr

Provide insights on internal controls, regulatory compliance, risk mitigation, and operational improvement strategies * Present findings, recommendations, and strategic insights to client leadership ...

Ernest Health

Director of Compliance

Johnstown, CO · On-site

$95K - $120K/yr

... Risk Management, and Medical Staff Services in our inpatient rehabilitation setting ... Facilitates compliance for the facility related to CMS, The Joint Commission and State/Federal ...

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Compliance Risk information

What are some common challenges faced by professionals in Compliance Risk roles, and how can they be addressed?

Professionals in Compliance Risk often face the challenge of keeping up with constantly evolving regulations and ensuring that internal practices remain aligned with legal requirements. Balancing the need for rigorous controls while supporting business operations can also be demanding, as compliance measures must not hinder productivity. To address these challenges, ongoing education, collaboration with legal and business units, and leveraging technology for monitoring and reporting are essential strategies. Building strong communication channels across teams helps ensure compliance is integrated seamlessly throughout the organization.

What are the key skills and qualifications needed to thrive as a Compliance Risk professional, and why are they important?

To thrive as a Compliance Risk professional, you need a strong understanding of regulatory frameworks, risk assessment, and compliance procedures, usually supported by a degree in law, finance, or a related field. Familiarity with compliance management systems, GRC (Governance, Risk, and Compliance) software, and industry certifications such as CRCM or CAMS is often expected. Attention to detail, analytical thinking, and effective communication are crucial soft skills for identifying risks and ensuring organizational adherence to regulations. These skills are essential for minimizing legal exposure, maintaining ethical standards, and safeguarding the organization's reputation.

What is compliance risk?

Compliance risk refers to the potential for legal or regulatory sanctions, financial loss, or reputational damage that an organization can face if it fails to comply with laws, regulations, or internal policies. Businesses must identify, assess, and manage compliance risks to operate within the boundaries set by governing bodies. Effective compliance risk management helps organizations avoid penalties and ensures that they maintain trust with customers and stakeholders.

What is the difference between Compliance Risk vs Compliance Analyst?

AspectCompliance RiskCompliance Analyst
Primary FocusIdentifying and managing potential compliance risks within an organizationMonitoring, reviewing, and ensuring adherence to compliance policies and regulations
Required CredentialsRisk management certifications, compliance trainingCertifications like CCEP, CAMS, or similar compliance certifications
Work EnvironmentRisk management teams, compliance departments, consulting firmsCorporate compliance departments, financial institutions, healthcare organizations
Industry UsageUsed across industries to assess and mitigate compliance risksCommonly employed in industries with strict regulatory requirements

While Compliance Risk focuses on identifying and mitigating potential compliance issues proactively, Compliance Analysts primarily monitor and ensure ongoing adherence to regulations. Both roles are essential in maintaining organizational compliance but differ in scope and responsibilities.

What cities in Colorado are hiring for Compliance Risk jobs? Cities in Colorado with the most Compliance Risk job openings:
Compliance Risk jobs near you

Senior Director, Compliance - Fraud & Agent Oversight Compliance

Aegon

Denver, CO • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 11 days ago

Job description

Job Family

Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment - one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.

Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.

We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good - for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com.

Job Description Summary

Lead the development and execution of a strategy to modernize fraud and agent oversight programs using emerging technologies and AI, while building high performing teams and driving operational efficiencies aligned with organizational objectives, risk tolerance, and applicable regulatory and compliance requirements.

Job Description

Responsibilities

  • Leadthedevelopment of a forward-looking technology, AI,dataand analytics roadmap that strengthens thefraud and agent oversightcomplianceprogramsscalability and effectiveness.

  • Drive and oversee continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.

  • Build and sustain a culture of integrity and continuous improvement across high-performing teams

  • Collaborate across the Compliance department and lead integration of other functional areas to build support for work plansand initiatives.

  • Stay current on compliance trends by researching industry publications and literature, benchmarking, consulting with industrycounterparts, and attending industry conferences and continuing education programs.

  • Direct and assign projects; provide guidance to senior managers,managersand other Compliance staff to improve theefficiency of the department and of company Compliance procedures.

  • Develop and/or manage department budgets for Compliance operations.

  • Managehighly complexCompliance matters with minimal supervision.

  • Develop,maintain, and update Compliance policies and procedures for multiple functions and/or locations.Recommend corrective action or revisions to policies and procedures asappropriate basedupon findings from internal audits,Compliance reviews, regulatory examinations,investigationsand/or industry trends.

  • Work with multiple functions, units, or locations of the business to develop cost effective and common solutions to achieveregulatory compliance on an enterprise-wide basis.

  • Represent the company on industry committeesregardingvarious regulatory issues.

  • Assistin evaluating overall Compliance risk factors.

  • Assistthecompliancedepartment with regulatory examinations, corporate audits, and internal audits.

Qualifications

  • Bachelor'sin business management, finance, analytics, or other relevant field, or equivalent experience

  • 12 years of financial services, insurance and/or securities experience in compliance, fraud prevention, financial crimes, or regulatory compliance

  • Leadership and project management skills, including managing cross-functional teams.

  • Excellent oral/written communication and interpersonal skills

  • Demonstrated experience building or leading fraud monitoring, agent oversight, or surveillance and risk analytics teams, including embedding continuous improvement practices to strengthen controls and reduce risk

Preferred Qualifications

  • Master's degree, JD, CLU, FLMI or legal assistant degree

  • Advanced understanding of insurance and/or securities laws and the impact on company operations.

Working Conditions

  • Office Environment

  • Occasional Travel <10%

The Salary for this position generally ranges between$175,000 - $200,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors includingqualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation 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

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica's Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

* As of December 31, 2023

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