Sr Sales Supervision Principal

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 supervisory principal review activities for Transamerica Financial Advisors (TFA) financial professionals. Job Description 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. • M aintain 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.

Qualifications

• 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 Qualifications

• 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 Working Conditions

• Remote Environment

The Salary for this position generally ranges between $70,000-$80,000 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 of 10% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. 

• We will never request personal information such as ID or payment for equipment upfront.

• Official offers are sent via DocuSign following a verbal

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