Manager, Compliance Branch Inspections

Job Family

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

Direct the day-to-day branch inspection operations for Transamerica Financial Advisors, LLC (TFA) and Word Financial Group (WFG). Manage a team of branch examiners to ensure accuracy and consistency in the application of firm policies and regulatory standards. Conduct routine and complex inspections as required and monitor and evaluate team inspection results to assess potential risks and determine actions required to meet education and policy requirements.

Job Description

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Responsibilities:

• Manage a team of branch examiners, providing ongoing training, guidance, and support to ensure accuracy and consistency in the application of firm policy and regulatory standards.

• Oversee inspections to ensure branch examiners adhere to department policies and procedures.

• Develop and maintain inspection program material, including updates to modules and communications, and conduct periodic testing of inspection modules and collaborate with the platform vendor as needed.

• Prepare for and perform on-site reviews, including examining books and records, computer systems, and physical premises to id