Sr Sales Supervision Principal - Advice Center

About this role

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, visit transamerica.com .   

Job Description Summary Conduct suitability review of new business and provide compliance oversight of registered representatives. Job Description 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).

Preferred Qualifications

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 Assista

Similar jobs

• Supervisor, Advice Center Sales Support — Transamerica · Cedar Rapids, Iowa | Denver, Colorado
• Sales Supervision Manager — Ameriprise · Minneapolis, Minnesota | Charlotte, North Carolina | Troy, Michigan
• Sales Supervision Mgr — Ameriprise · Minneapolis, Minnesota | Charlotte, North Carolina | Troy, Michigan
• National Sales Consultant - Advisory — Ameriprise · Minneapolis, Minnesota
• Advisory Sales Consultant team: Sr Manager - Product Consulting — Ameriprise · Minneapolis, Minnesota
• Sr Sales Director — Bluefishai · New York, Hybrid
• Inside Sales Supervisor — OneMain Financial · West Valley City, UT
• Inside Sales Supervisor — Thermo Fisher Scientific · Remote