Compliance Branch Examiner

January 8

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Transamerica

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Transamerica is a financial services company that provides a diverse range of products and services, including life insurance, retirement planning, mutual funds, annuities, and employee benefits. It aims to help individuals plan for their financial future and live their best lives by offering research-based tools, education, and guidance. Transamerica works with institutions and advisors to deliver solutions and services designed to attend to the evolving needs of individuals and employers. They also focus on retirement security and investment management, emphasizing innovation and leadership in the financial industry.

Insurance • Investments • Retirement

5001 - 10000 employees

Founded 1904

💸 Finance

📋 Description

• Conduct branch office inspections to monitor and assess compliance with Transamerica Financial Advisors, Inc. and World Financial Group, Inc. policies, procedures and industry regulations. • Identify potential risks and recommend education and policy requirements for registered representatives and agents. • Coordinate and schedule inspections with assigned offices • Prepare for and perform onsite reviews, including examining books and records, computer systems, and physical premises to identify policy and regulatory gaps. • Document and report findings of the inspection; follow up to ensure identified issues are addressed and resolved. • Conduct compliance training at office locations as part of the branch inspection program. • Work on special projects as assigned. • Ensure timely submission of travel expenses and adherence to Transamerica’s travel policy.

🎯 Requirements

• Bachelor’s degree in business, marketing, finance, or relevant field, or equivalent education and experience • Experience in a compliance or related role working directly with financial professionals (typically two to five years) • FINRA Series 26 • Knowledge of financial industry practices, techniques, and standards used for branch inspections • Ability to coordinate and prioritize work assignments in a fast-paced environment • Attention to detail and accuracy with excellent organizational and communication skills • Relationship driven and customer focused • Proficient with Microsoft Office suite • Preferred Qualifications: FINRA Series 24 • Experience conducting inspections for retail broker-dealers, registered investment advisors, and/or insurance companies

🏖️ 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 • College Coach 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