Sr Sales Supervision Principal - Advice Center

Transamerica; Denver (CO); On-site; USD 70,000 - 85,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Disability Insurance

Medical Insurance

Job summary

Transamerica is seeking a Regulatory Compliance professional to conduct suitability reviews and oversee registered representatives. The role involves preapproving complex products, providing training, and ensuring adherence to processes and controls across the RIA, broker/dealer and insurance channels.

The ideal candidate has several FINRA licenses, strong analytical and communication skills, and a solid grasp of securities regulations.

Qualifications

• Bachelor’s degree in finance or business-related field or equivalent work experience.
• Five years of suitability/best interest review experience or investment sales supervision.
• FINRA Series 6/7/63/26/24; Series 65 or 66 within 6 months.

Responsibilities

• Conduct suitability review of new business and provide compliance oversight of registered representatives.
• Preapprove complex products prior to distribution to clients.
• Provide compliance training and guidance.
• Ensure adherence to business line processes and controls.
• Track and assist with investment issues and complaints.
• Investigate regulatory violations, sales practice improprieties, or other policy violations.
• Assist with the preparation for regulatory audits.
• Perform Principal guidance and training, and provide supervisory feedback.

Skills

Communication skills

Analytical thinking

Education

Bachelor’s degree in finance or business-related field

Tools

FINRA Series 6/7/63/26/24

FINRA Series 65 or 66

MS Office (Word, Excel)

Job description

Job Family

Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, transamerica.com.

Job Description Summary

Conduct suitability review of new business and provide compliance oversight of registered representatives.

Responsibilities

• Conduct and oversee account reviews for client’s best interest.
• Preapprove complex products prior to distribution to clients.
• Provide compliance training and guidance.
• Ensure adherence to business line processes and controls.
• Track and assist with investment issues and complaints.
• Track quality reports and identifying potential issues.
• Manage OSJ files for RIA, broker/dealer and insurance agency.
• Certify the regulatory requirement for the RIA are being completed.
• Assist with licensing and registration issues.
• Investigate regulatory violations, sales practice improprieties, or other policy violations.
• Assist with the preparation for regulatory audits.
• Perform Principal guidance and training, and provide supervisory feedback.

Qualifications

• Bachelor’s degree in finance or business-related field, or equivalent work experience.
• Five years of suitability/best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7, 63, 26, and 24
• FINRA Series 65 or 66, or obtained within 6 months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Ability to analyze complex issues and recommend solutions.
• Strong written and verbal communication skills.
• Attention to detail.
• Proficiency in MS Office (Word, Excel).

Working Conditions

• Office Environment

Compensation

The salary for this position generally ranges between $70,000 - $85,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

Disclaimer

Beware of fake job offers!

We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

• We will never request personal information such as ID or payment for equipment upfront.
• Official offers are sent via DocuSign following a verbal offer—not through text or email.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well‑being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• 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

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That’s why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

* As of December 31, 2023