Sr Advisor Training & Quality Assurance Consultant-Advice Center

Transamerica•Cedar Rapids, IA

6d•$80,000 - $95,000•Hybrid

About The Position

Designs, delivers, and reinforces compliant training for licensed financial advisors while independently performing quality assurance reviews in a regulated financial services environment. Leverages quality insights, regulatory requirements, and performance data to improve advisor effectiveness and mitigate compliance risk.

Requirements

Bachelor’s degree in business, finance, or related field
Five years of experience in financial services training, quality assurance, or performance management
Experience designing and delivering training and performing call quality reviews for licensed professionals
Strong working knowledge of FINRA regulations, supervision requirements, advisor disclosures, and suitability standards
Ability to translate quality and compliance findings into effective learning solutions
Proficient in MS Word, Excel, PowerPoint, and Articulate Storyline or equivalent eLearning authoring tools
Strong communication, facilitation, coaching, and presentation skills

Nice To Haves

FINRA Series 6 with FINRA Series 65 or equivalent
Experience in brokerage, wealth management, insurance, or investment advisory environments
Experience supporting regulatory examinations or internal audits
Familiarity with learning management systems, call monitoring platforms, and quality scoring tools
Background in adult learning principles or instructional design

Responsibilities

Design, update, and maintain onboarding, refresher, and remediation training programs for licensed financial advisors.
Deliver live and virtual training sessions, workshops, and structured coaching engagements.
Develop and maintain training materials, including facilitator guides, presentations, job aids, call examples, scenarios, role play exercises, and microlearning content.
Translate quality findings, detect trends, and regulatory updates into practical, compliance-aligned learning solutions.
Partner with Compliance, Legal, and business teams to ensure training content reflects current Financial Industry Regulatory Authority (FINRA) rules and firm policy.
Independently conduct call monitoring and interaction reviews for licensed advisors using established quality standards.
Analyze performance trends related to suitability, disclosures, tone, and client communication.
Provide consultative coaching and feedback to improve advisor performance and reduce regulatory risk.
Maintain documentation supporting supervisory oversight, internal audits, and regulatory examinations.
Identify and escalate systemic quality or compliance risks with evidence-based recommendations.

Benefits

Competitive Pay
Bonus for Eligible Employees
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year
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