Senior Sales Supervision Principal

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $70k - $80k / year

⏰ Full Time

🟠 Senior

🤑 Sales

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Transamerica

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded 1904

💼 Consulting

🏥 Healthcare

💸 Finance

Consulting • Healthcare • Finance

Transamerica is a financial services company that provides a diverse range of products and services, including life insurance, retirement planning, mutual funds, annuities, and employee benefits. It aims to help individuals plan for their financial future and live their best lives by offering research-based tools, education, and guidance. Transamerica works with institutions and advisors to deliver solutions and services designed to attend to the evolving needs of individuals and employers. They also focus on retirement security and investment management, emphasizing innovation and leadership in the financial industry.

📋 Description

• Conduct principal review and approval for suitability and client’s best interest across 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 process and procedure improvements • Track quality reports, identify potential issues, and escalate to leadership as needed • Develop and provide training and guidance on business submission processes, firm requirements, and best interest requirements • Develop, maintain, and update Written Supervisory Procedures, Desktop procedures, and quick reference guides • Research and resolve inquiries from financial professionals and internal departments regarding business review, exception reports, and investigations • Contribute to projects upgrading or implementing regulatory-related systems and special projects • Maintain and enhance supervisory policies, procedures, and systems in collaboration with operations and compliance departments • Assist with regulatory audit preparation as needed • Maintain relationships with financial professionals and support staff • Provide complex financial investment product subject matter expertise to financial professionals and internal partners

🎯 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) • Preferred: Experience with business processing, surveillance, and Reg BI platforms such as Docupace, Wealthscape, FIS, and RightBRIDGE • Preferred: Knowledge of process improvement methodologies and technology solutions such as AI

🏖️ 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 • 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 • Annual Bonus of 10% based on the Company Bonus Plan/Individual Performance and at the Company’s discretion