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

Provide supervision over the securities activities of Branch Office Supervisors and Registered Representatives in an assigned region.

Job Description

Responsibilities

Provide direct supervision of Branch Office Supervisors and Registered Representatives for broker dealer and investment advisory functions; provide supervision, guidance, advice, and training.Maintain files required by the WSPs to be maintained at the branch location for each Branch Office Supervisor and Registered Representatives.Assist in the creation of new branch offices and the development of existing offices.Participate in regulatory examinations within the assigned region.Review and accept or deny requests for non-registered locations.Monitor the activities of Branch Office Supervisors, Registered Representatives and NRLs within the region in accordance with the Firm’s written supervisory procedures.Monitor the performance of Branch Office Supervisors to ensure they are able to properly supervise the number of Registered Representatives assigned to them.Designate, reviews and remove Branch Office Supervisor status as needed.Makes decisions for acceptance or denial of new applicants and, when necessary, for the suspension or termination of Branch Office Supervisors and Registered Representatives.Visit branch offices periodically to review and monitor for adherence to company policies and procedures.Review annual audit report and implement procedural changes to ensure that identified deficiencies are not repeated.Reviews written correspondence and communications with the public in accordance with company policies as needed.Review and approve, or deny, outside business activities and private securities transactions requested by Branch Office Supervisors and Registered Representatives.Perform final review and acceptance of Form U4s for applicants, including interviews with the sponsoring Branch Office Supervisor and/or applicant, and/or requests for additional supporting documentation. Approve/recommend Heightened Supervisory Agreement (HSA), or refer to Special Review Committee.Implement, monitor, and dissolve HSAs within the region.Review and accept, or deny, requests from Branch Office Supervisors for assignments or reassignments of Registered Representatives.Monitor Registered Representatives compliance with Firm and regulatory continuing education requirements.Review and monitor Branch Office Supervisor and Field Representative completion and compliance with the Firm’s annual compliance meeting and Firm element requirementsReview and monitor Branch Office Supervisor and Field Representative emails to ensure compliance with Firm policies.Handle calls and inquires during regions office hours to ensure inquiries are resolved satisfactorily, including incoming calls on the RBM call line.Refer to and provide input to the Compliance Division on regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and/or regulatory requirements as needed.Periodically attend public events conducted by TFA Field Representatives to ensure compliance with Firm policies.Create, facilitate and promote Firm training programs as deemed necessary by management.Perform additional supervisory and compliance functions as needed.

Qualifications

Bachelor’s degree in a business-related field or equivalent experienceFive years of securities industry related experienceFINRA Series 6 and 26 (and obtain 7 and 24 licenses within one year)In-depth knowledge of compliance, suitability issues, securities products, and FINRA regulationsStrong written/oral communication and interpersonal skillsFacilitation and training experienceOrganizational skills and the ability to prioritize multiple prioritiesProficiency using MS Office projects

Preferred Qualifications

FINRA Series 24, 65/66, 53/51

Working Conditions

Work remote from homeModerate Travel (up to 25%)Evening/weekend hours as needed

*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 $65,000 - $80,000 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.

 

Additionally, this position is typically eligible for an Annual Bonus of 12.5% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

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 

 

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

College Coach 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

 

Inclusion & Diversity  

  

We 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 Back  

  

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation 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 Company  

 

Aegon acquired 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