Regional Branch Manager (Compliance/Tier 1 Supervision)

Transamerica

  • Toronto, ON
  • Permanent
  • Full-time
  • 22 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 Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.Job DescriptionResponsibilities
  • Pre-trade Know Your Client (KYC) review.
  • Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
  • Tier-1 Trade Reviews - Post-trade reviews of transactions.
  • Provide support and act as an information resource for APs.
  • Learn and understand WFGS policies and procedures.
  • Provide support to APs and direct to other resources as appropriate.
  • Review and report as required any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
  • Visit branch locations responsible for supervising as required.
Qualifications
  • Two years of compliance experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry
  • Experience conducting non-financial audits for firms registered in the securities industry
  • Knowledge of relevant industry practices, techniques and standards, concepts and principles Completion of the Investment Funds in Canada or the Canadian Securities Course, (or obtain within 30 days of hire)
  • Completion of the Branch Manager’s Course, (or obtain within 30 days of hire)
  • Completion of Life License Qualification Program (or obtain within 12 months of hire)
  • Life Insurance License (or obtain within 12 months of hire)
  • Ability to obtain Mutual Fund license as needed
  • Ability to prioritize multiple projects in a fast-paced environment
  • Organizational skills and attention to detail
  • Communication and interpersonal skills
  • Results driven and customer focused
Preferred Qualifications
  • College diploma and/or university degree
Working Conditions
  • Office environment
  • Occasional travel for branch visits within Ontario and out of province
This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.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