Rebecca Kramer
About Rebecca Kramer
Rebecca Kramer serves as the Senior Director of Enterprise Compliance Risk Monitoring Program and Treasury Compliance at Transamerica, where she has worked since 2019. With a background in securities regulation and compliance, she has held various roles in the financial industry, including positions at the Financial Industry Regulatory Authority and the State of Colorado.
Work at Transamerica
Rebecca Kramer has been serving as the Senior Director of the Enterprise Compliance Risk Monitoring Program and Treasury Compliance at Transamerica since 2019. In this role, she oversees compliance risk monitoring initiatives and ensures adherence to regulatory standards. Her responsibilities include managing compliance programs and fostering a culture of risk awareness within the organization. Additionally, she co-sponsors the Equity, Diversity, and Inclusion Council at Transamerica, contributing to the company's commitment to fostering an inclusive workplace.
Previous Experience in Compliance
Prior to her current role, Rebecca Kramer worked at the Financial Industry Regulatory Authority (FINRA) as an Examination Manager from 2010 to 2013. In this position, she managed examination processes and ensured compliance with financial regulations. Before her tenure at FINRA, she served as the Lead Securities Examiner at the State of Colorado, Division of Securities from 2005 to 2010, where she was responsible for overseeing securities compliance within the state. Her early career included a role as a Fund Accountant at OppenheimerFunds from 1990 to 1992.
Education and Expertise
Rebecca Kramer earned a Bachelor of Science degree in Accounting and Business Administration from Colorado State University. She possesses extensive knowledge of key regulatory frameworks, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and various FINRA rules. Her expertise extends to state rules and regulations, making her well-versed in compliance matters across multiple jurisdictions.
Management Style and Approach
Rebecca Kramer is recognized for her hands-on management style, which effectively fosters team collaboration and optimal performance. She employs a strategic and focused approach to assess and limit risk within compliance programs. Her ability to create efficiencies in institutional and multi-state examination programs has contributed to her reputation as a leader in the compliance field.