Regional Branch Compliance Leader — Hybrid/Travel

Transamerica; Toronto; Hybrid; CAD 82,000 - 92,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Disability Insurance

Medical Insurance

Job summary

Transamerica, a leading financial services company, seeks a branches supervisor in regulatory compliance. You will travel to branch locations, conduct supervisory reviews, and ensure APs adhere to regulatory and company requirements while delivering training to branch personnel.

The role requires experience in the insurance/financial services industry, CIRO/licensing, ability to travel Canada-wide, strong communication and organizational skills, and a commitment to compliance.

Qualifications

• Five years experience in the insurance/financial services industry.
• Two years of compliance and/or supervision experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry
• In-depth experience conducting supervision reviews and/or audits for firms registered in the financial industry. Sound judgement and decision-making skills to manage complex situations/topics in a professional manner.
• Ability to travel daily and for extended periods to branch locations throughout Canada
• Strong knowledge of relevant industry practices, techniques and standards, concepts and principles
• Ability to prioritize multiple tasks in a fast-paced environment
• Outstanding written and verbal communication skills
• Strong relationship management skills to build and maintain relationships with APs and team members
• Ability to maintain composure and professionalism while communicating challenging news/decisions
• Results driven and exemplary customer focused mindset
• Valid driver’s license
• Completion of all required licenses to supervise mutual fund transactions in Ontario. Must be mutual fund or securities licensed and have Branch Manager proficiency. (reactivate or obtain within 60 days of hire)
• Completion of Life License Qualification Program and Life Insurance License (or obtain within 12 months of hire)

Responsibilities

• Travel to branch locations and conduct supervisory reviews. Provide timely report and updates to key stakeholders.
• Collaborate with Regional Branch Managers to identify training opportunities. Deliver agreed upon training to branch location APs.
• Supervision of AP sales transactions.
• Interact with clients (in a licensed capacity) to facilitate transactions when AP is unavailable.
• Provide supervision support and act as an information resource for APs and RBMs.
• Provide advanced level application of knowledge regarding WFG Securities Inc. policies and procedures and regulatory guidance to ensure compliance.
• Enhanced supervision of APs who may be subject to regulatory or internal supervision.
• Participate in special projects as assigned. Engage in department projects as required and provide support to other areas within WFG.

Skills

Regulatory compliance

Supervision

Travel readiness

Regulatory reporting

Communication skills

Education

College diploma or university degree

Mutual fund or securities licensing (Ontario)

Life License Qualification Program

Life Insurance License

Job description

Transamerica, a leading financial services company, seeks a branches supervisor in regulatory compliance. You will travel to branch locations, conduct supervisory reviews, and ensure APs adhere to regulatory and company requirements while delivering training to branch personnel.

The role requires experience in the insurance/financial services industry, CIRO/licensing, ability to travel Canada-wide, strong communication and organizational skills, and a commitment to compliance.