Sr Sales Supervision Principal

Transamerica

7d • $70,000 - $80,000 • Remote

About The Position

Conduct supervisory principal review activities 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
• FINRA Series 24
• FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain within 12 months from date of job entry date
• FINRA Series 51 or 53, or obtain within 12 months from job entry date
• 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)

Nice To Haves

• Experience with business processing, surveillance, and Reg BI platforms such as Docupace, Wealthscape, FIS, and RightBRIDGE
• Knowledge of process improvement methodologies and technology solutions (such as AI) to enhance business performance

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 a variety of topics, such as business submission process, firm requirements, 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 a variety of topics, including business review, exceptions reports, and investigations.
• 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.
• Strengthen and maintain relationships with financial professionals and support staff and provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners.

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 (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: Principal