Chief Compliance Officer
1 month ago
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
The Chief Compliance Officer ("CCO") will be responsible for managing the compliance program for World Financial Group Insurance Agency, Canada's ("WFGIAC") business. WGIAC is licensed to do business in all Canadian provinces and territories. The CCO will partner with the compliance team and other leaders within the organization on various compliance initiatives, including, but not limited to:
• regulatory compliance management,
• interacting with regulators, and
• planning and delivery on initiatives in support of compliance and business strategies.
As the second line of defense, the CCO is responsible for implementing reasonably designed compliance policies and procedures to ensure compliance with all applicable insurance laws and regulations. As part of this role, the CCO will also serve as the Responsible Officer for WFGIA's Quebec business. This position reports to the Head of WFG Compliance, Canada.
Job Description
Responsibilities
- Establish, maintain, and update compliance policies and procedures covering the activities, supervision and oversight of WFGIA's branch offices and its agents.
- Conduct monitoring of compliance risks, promptly reporting deficiencies presenting a significant risk to WFGIA.
- Provide advice and guidance to senior leadership on compliance, regulatory risks, conflicts of interest and reputational risk.
- Provide quarterly reporting to the Head of WFG Compliance and escalate significant issues to the Head of WFG Compliance as well as senior management in a timely manner.
- Track and respond to regulatory developments and industry trends to ensure the program remains current and effective.
- Create and modify policies and procedures as needed, keeping up to date with technology enhancements and surveillance techniques.
- Oversee the assessment of control deficiencies and remediation plans and ensure appropriate resources are available to handle regulatory examinations.
- Prepare and deliver a report to the board of directors of WFGIA on the state of the compliance program.
- Provide back-up to the CCO of WFG Securities.
- Provide leadership to
Qualifications
- Bachelor's degree in a business field
- Ten years of experience in insurance compliance, including senior level management responsibilities.
- Comprehensive understanding of Canadian insurance regulatory requirements and experience dealing with regulators (AMF, FSRA, etc.).
- Outstanding written and oral communication and relationship building skills to work with regulators, the business, and field leaders.
- Life, Accident and Sickness/Personal Insurance Licenses in all Provinces.
Preferred Qualifications
- French speaking
Working Conditions
- Office or hybrid office/remote environment
- Moderate 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 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
- As of December 31, 2022
For more information about Transamerica's privacy practices, click here. )
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