Manager, Sales Supervision

4 days ago

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Transamerica

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Insurance • Investments • Retirement

5001 - 10000 employees

Founded 1904

💸 Finance

Description

• Lead and manage a team of sales supervision principals responsible for conducting suitability/best interest review of securities business. • Provide compliance oversight of registered representatives. • Mentor team and ensure service level agreements and key performance indicators are met. • Oversee development and implementation of departmental desktop procedures and written supervisory procedures. • Provide guidance and training to the business review team. • Act as a member of the Escalation Committee for business review cases. • Maintain an effective supervisory structure and identify opportunities for improvement. • Conduct quality control reviews of approved business review cases. • Provide compliance training and guidance to field representatives. • Investigate regulatory violations related to business review and provide recommendations. • Assist with responses related to regulatory audits.

Requirements

• Bachelor’s degree in finance or a business field, or equivalent experience • Considerable securities industry related experience, suitability/best interest review experience, investment sales supervision, or similar work (typically eight or more years) • FINRA Series 7, 24, 66 (or 63 and 65), 51 (or 53) • Thorough knowledge of securities and insurance products, FINRA, SEC, and DOL regulations • Experience managing people and leading change initiatives • Ability to analyze complex issues and recommend solutions • Strong written and verbal communication skills • Excellent attention to detail • Proficiency in MS Office (Word, Excel)

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