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Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking , and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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.

Transamerica is a part of A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit   www.transamerica.com .

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products , including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

Conduct suitability review of new business and provide compliance oversight of registered representatives.

Job Description

Responsibilities

• Conduct and oversee account reviews for client’s best interest.

• Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.

• Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.

• Review calls and call reports for quality and adherence of business guidelines.

• Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.

• Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.

• Assist with the regulatory requirement of advisory annual reviews.

• Assist with licensing and registration.

• Email and correspondence review.

• Perform special supervisory reviews as assigned.

  Qualifications

• Bachelor’s degree in finance or business-related field, or equivalent work experience.

• Two years of suitability or best interest review experience, investment sales supervision, or similar work.

• FINRA Series 6 or 7

• FINRA Series 63, 26, 65, or 66, 24; or obtain within six months

• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.

• Strong written and verbal communication skills.

• Analytical and decision-making skills.

• Attention to detail.

• Proficiency using MS Office (Word, Excel).

  Working Conditions

• Remote environment.

Compensation

Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.

The Salary for this position generally ranges between $ 60,000 - $ 65,000 annually . This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

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 Em ployees

  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 s ervice 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

• Peer Recognition Program (BRAVO)

  • As of December 31, 2022

  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 - sponsor ed, 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, th e foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

   

  https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation  

   

  Transamerica’s Parent Company 

  Aegon (http://www.aegon.com/) acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 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.  

  At Transamerica, hard work, innovative thinking , and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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.

     

  Transamerica is a part of A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit   www.transamerica.com .

  • As of December 31, 2022

For more information about Transamerica’s privacy practices, click here. (https://transamerica.com/sites/default/files/files/e070d/job_app_0123.pdf)