Senior Sales Supervision Principal

Transamerica

  • Denver, CO
  • Permanent
  • Full-time
  • 2 days ago
Job Family Regulatory ComplianceAbout UsAt Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of 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.Who We AreWe believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.What We DoTransamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit .Job Description Summary Conduct suitability review of new business for Transamerica Financial Advisors (TFA) financial professionals.Job DescriptionResponsibilities
  • Conduct principal review and approval for suitability and client’s best interest on variety of business types, including mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.
  • Ensure adherence to business line processes and controls, identifying and recommending ideas for process and procedure improvements.
  • Track quality reports and identify potential issues, escalating to leadership as needed.
  • Develop and provide training and guidance on business submission process and best interest requirements.
  • Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
  • Research and resolve inquiries received from financial professionals and internal departments related to business review.
  • Perform guidance and training and provide supervisory feedback on various technology tools used as part of business submission process.
  • Strengthen and maintain relationships with financial professionals and support staff.
  • Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed.
  • Maintain the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with input and feedback to operations and compliance departments.
  • Assist with the preparation for regulatory audits, as needed.
  • Provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners as it relates to business review.
Qualifications
  • Bachelor’s degree in finance, business, or a related field, or equivalent professional experience
  • Five years of experience in suitability/best interest review, investment supervision, or a related compliance function
  • FINRA Series 7 and 24 licenses
  • FINRA Series 65 or 66 and 51 or 53, or ability to obtain within one year
  • Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
  • Excellent analytical, problem-solving, and decision-making skills
  • Exceptional written and verbal communication with high attention to detail
  • Proven ability to manage multiple priorities in a fast-paced environment
  • Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)
Preferred QualificationsWorking Conditions
  • Office or hybrid office/remote environment.
The Salary for this position generally ranges between $70,000-$78,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.What We OfferFor eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.Compensation BenefitsCompetitive PayBonus for Eligible EmployeesBenefits PackagePension Plan401k MatchEmployee Stock Purchase PlanTuition ReimbursementDisability InsuranceMedical InsuranceDental InsuranceVision InsuranceEmployee DiscountsCareer Training & Development OpportunitiesHealth and Work/Life Balance BenefitsPaid 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 DollarsParental 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 AssistanceEmployee Assistance ProgramCollege Coach ProgramBack-Up Care ProgramPTO for Volunteer HoursEmployee Matching Gifts ProgramEmployee Resource GroupsInclusion and Diversity ProgramsEmployee Recognition ProgramReferral Bonus ProgramsInclusion & DiversityWe 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-sponsored, 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 BackWe believe our responsibilities extend beyond our corporate walls. That's why we created the in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.Transamerica’s Parent Companyacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 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.
  • As of December 31, 2023

Transamerica