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Intermediate Compliance Analyst
3 months ago
Regulatory Compliance
- Who We Are
We're in the business of helping people live well and empowering them to create a better tomorrow through the financial and health-related habits they form today.
We help people prepare by providing solutions that consider the whole picture.- What We Do
- Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, Employee Benefits, and Financial Assets), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People, Places & Brand; Risk; and Technology).
Responsible for maintaining Compliance policies and procedures, liaising with regulators and developing policy and training content to support Compliance and licensed agents/representatives.
Job Description:
Responsibilities:
- Investigate, review and prepare responses related to complaints, investigations and regulatory inquiries.
- Assist with reporting to relevant regulatory bodies as required.
- Update and maintain complete and accurate compliance logs and files.
- Assist with regulatory audits preparation and coordination of audit requirements (i.e. reports), management of audit responses/action plan, and maintenance of all audit items.
- Assist team members with research and assigned tasks and work with related departments as needed.
- Assist in the development, maintenance and implementation of policies and procedures.
- Provide recommendations for the enhancement/clarification of compliance policies and procedures.
- Prepare compliance training content for agents/representatives as required.
- Conduct training for agents/representatives as required.
- Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.
Qualifications:
- Post-Secondary education or equivalent experience.
- Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC).
- Frequent use and general knowledge of industry practices, techniques and standards.
- Ability to coordinate and prioritize multiple projects in a fast paced environment.
- Attention to detail and accuracy.
- Organizational and communication skills.
- Results driven and customer focused.
- Proficient with Microsoft Office Suite and Adobe.
- Three years of experience in the financial industry.
- Experience in an Advisor facing compliance or related role.
- Hybrid/Office environment.
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Transamerica has made a strong commitment to inclusion and diversity, and we are proud to be an organization where all perspectives are valued.
Transamerica has earned recognition for its strong efforts year-over-year, including from the Human Rights Campaign's Foundation Corporate Equality Index, the Diversity Best Practices Inclusion Index, and Seramount's "100 Best Companies" list.
In addition, as part of Transamerica's commitment to maintaining an inclusive workplace, the company sponsors employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity.
