Tonia Walters
About Tonia Walters
Tonia Walters is an Intermediate Compliance Analyst at Transamerica, where she has worked since 2016. She has a background in human resources and compliance, with previous roles at Alcan and Robert Half International.
Work at Transamerica
Tonia Walters has been employed at Transamerica since 2016, currently holding the position of Intermediate Compliance Analyst. In this role, she collaborates with the Legal team to file the annual N-PX Proxy Voting information and works closely with regulatory bodies such as FINRA and the NFA to ensure compliance with necessary filings. Prior to her current position, she served as Forms Development Analyst II at Transamerica from 2006 to 2016, where she contributed to various compliance and administrative functions.
Education and Expertise
Tonia Walters studied at the University of Northern Iowa, where she focused on Secondary Education with a specialization in Spanish and French from 1994 to 1996. She also attended Hawkeye Community College, earning an Associate of Arts degree in General Studies from 1992 to 1994. Her educational background supports her expertise in compliance analysis and regulatory matters within the financial services industry.
Background
Before joining Transamerica, Tonia Walters worked in various roles that contributed to her professional development. She served as an Administrative Assistant at Robert Half International from 2000 to 2003 and worked as a Human Resource Assistant at Alcan from 2003 to 2006. These positions provided her with foundational skills in administration and human resources, which she has applied in her compliance-focused career.
Achievements in Compliance
Tonia Walters has made significant contributions to the compliance field at Transamerica. She created a database for the TAM Compliance team that organizes essential information about current and historical funds. Additionally, she administers initial and annual training on the mutual fund Code of Ethics, ensuring that team members are well-informed about compliance standards and practices.