Manager, Compliance Branch Inspections

Transamerica

4d•$100,000 - $110,000•Remote

About The Position

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.

Requirements

Bachelor's degree in a business field or equivalent experience
Five years of relevant compliance or field supervision experience
Two years of experience in the securities industry
Series 7 and 24 or obtain within six months of hire
Excellent written and verbal communication skills with ability to effectively negotiate and influence
Strong analytical and reporting skills
Strong organizational skills and attention to detail

Nice To Haves

Supervisory/management experience
Series 65/66

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 identify policy and regulatory gaps.
Develop and provide training to WFG and TFA financial professionals to close knowledge gaps or course correct trends (e.g. creating bulletins, resource guides, and/or providing guidance to the field as appropriate).
Monitor regulatory changes and analyze impact to policies and procedures, taking action as appropriate.
Develop and deliver comprehensive quarterly and ad hoc reporting that synthesizes examination findings, tracks corrective actions, and provides senior leadership with clear insights to drive informed decision‑making and operational accountability.
Foster collaborative and productive relationships with the field, various home office personnel, vendors and other internal and external partners.
Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.

Benefits

Compensation Benefits
Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid 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 Dollars
Parental 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 Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs