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Field Compliance Analyst

3 months ago

Vancouver, British Columbia, Canada Transamerica Corporation Full time

Field Compliance Analyst (Location - BC or ON) page is loaded

Field Compliance Analyst (Location - BC or ON) Apply locations British Columbia - Working From Home time type Full time posted on Posted 30+ Days Ago job requisition id R

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 unleashed by 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.

Transamerica is a part of A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit .

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We're a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica's dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America's leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products , including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

Reporting to the Compliance Manager, the Compliance Officer (Field Auditor) will conduct field office examinations in an effort to monitor and assess adherence to World Financial Group Canada Inc. policies and procedures and industry regulation. The Compliance Officer (Field Auditor) will use the information obtained during the course of field office examinations to assess potential risk and determine future education and policy requirements.

Job Description

Responsibilities

  • Prepare for onsite audit in accordance with Audit Program utilizing current systems and Head Office resources.
  • Conduct daily onsite audits of field/branch offices which include file/systems review along with Advisor Interviews.
  • Prepare Branch Audit Reports.
  • Ensure Closure of Branch Audit.
  • Conduct compliance training at branch locations.
  • Schedule Audit calendar and report findings to Senior Management.
  • Consistently assess/enhance the Audit Program.
  • Assist with and respond to Agent and Client Inquiries.
  • Work on Special Projects as required.

Qualifications

  • Successful completion of The Investment Funds of Canada Course (IFIC) or The Canadian Securities Course (CSC).
  • Successful completion of the Branch Manager's Examination Course (BM) or The Branch Manager's Course (BMC) or willing to complete the course within two months.
  • One year of experience in Advisor facing compliance or related role.
  • Frequent use and general knowledge of industry practices, techniques and standards.
  • General application of concepts and principals.
  • Ability to travel daily and for extended periods (50% travel within the area & throughout Canada).
  • Ability to coordinate and prioritize multiple projects in a fast paced environment
  • Attention to detail and accuracy with excellent organizational and communication skills.
  • Results driven and customer focused.
  • Proficient with Microsoft Office Suite.

Preferred Qualifications

  • Post-Secondary education.
  • Two years of experience in the financial industry.
  • Life License Qualification Program (LLQP)
  • Investment Dealer Supervisors Course (IDSC)
  • Experience in conducting non-financial audits for firms registered in the securities industry.
  • Bilingual in French.

Working Conditions

Remote/Hybrid environment.

Extensive travel.

This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

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 Em ployees

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 s ervice at the time of birth, placement of an adopted child, or placement of a foster care child.
  • Adoption Assistance
  • Employee Assistance Program
  • College Coach 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
  • Peer Recognition Program (BRAVO)

As of December 31, 2022

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 - sponsor ed, 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, th e 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 29.5 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.

About Us Job Applicant Data Privacy Statement

For more information about Transamerica's privacy practices, click here.

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