Sr Advisor Training & Quality Assurance Consultant-Advice Center
Transamerica•Cedar Rapids, IA
•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
- Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of paid parental leave per calendar year
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
