Sales Supervision Principal (Work from Home)

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 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 Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 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 Employees