Manager, Sales Supervision - Business Review

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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 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 Are 

  

We 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 Do 

 

Transamerica 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 transamerica.com.  

Job Description Summary

Lead and manage the activities of a team of sales supervision principals responsible for conducting suitability/best interest review of securities business, and provide compliance oversight of registered representatives.

Job Description

Responsibilities

• Lead and mentor team of sales supervision principals responsible for the review and approval of securities business; provide direction and training; ensure service level agreements and key performance indicators are met.
• Oversee the development and implementation of departmental desktop procedures and written supervisory procedures; maintain and provide updates as needed.
• Provide guidance and training to the business review team.
• Act as a member of the Escalation Committee for business review cases considered outside of firm guidelines; develop reporting and track escalated cases; provide guidance as needed during escalated reviews.
• Partner with key business partners to maintain an effective supervisory structure and identify opportunities for improvement; participate in cross-department or project meetings as needed.
• Responsible for the engagement and management of key supervisory tools and platforms used as part of business submission and review process (e.g., RightBRIDGE).
• Conduct quality control reviews