Sr Sales Supervision Principal (Work from Home)

Transamerica

1d • $70,000 - $80,000 • Remote

About The Position

Conduct suitability review of new business for Transamerica Financial Advisors (TFA) financial professionals.

Requirements

• Bachelor’s degree in finance, business, or a related field, or equivalent professional experience
• Five years of experience in suitability/best interest review, investment supervision, or a related compliance function
• FINRA Series 7 and 24 licenses
• FINRA Series 65 or 66 and 51 or 53, or ability to obtain within one year
• Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
• Excellent analytical, problem-solving, and decision-making skills
• Exceptional written and verbal communication with high attention to detail
• Proven ability to manage multiple priorities in a fast-paced environment
• Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)

Responsibilities

• Conduct principal review and approval for suitability and client’s best interest on variety of business types, including mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.
• Ensure adherence to business line processes and controls, identifying and recommending ideas for process and procedure improvements.
• Track quality reports and identify potential issues, escalating to leadership as needed.
• Develop and provide training and guidance on business submission process and best interest requirements.
• Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
• Research and resolve inquiries received from financial professionals and internal departments related to business review.
• Perform guidance and training and provide supervisory feedback on various technology tools used as part of business submission process.
• Strengthen and maintain relationships with financial professionals and support staff.
• Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed.
• Maintain the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with input and feedback to operations and compliance departments.
• Assist with the preparation for regulatory audits, as needed.
• Provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners as it relates to business review.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level