Mgr Compliance Wfg

6 months ago

Toronto, Canada Transamerica Full time

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 Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 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

**Job Description**:
**Responsibilities**:

- Support the CCO and all members of the Compliance Department to ensure compliance with regulatory requirements for the insurance and securities business.
- Monitor and interpret regulatory changes and industry best practices to determine if updates are required to policies and procedures. When applicable, present required updates to management and assist appropriate business units to implement the changes.
- Conduct reviews of agent’s business, including working with carriers to obtain necessary information.
- Monitor for and identify potential sales practice trends.
- Respond to regulatory inquiries, including collecting information, contacting agents and/or clients and presenting to management.
- Conduct Compliance testing and when necessary, create corrective action plans and ensure they are completed timely.
- Review advertising and marketing materials for securities and insurance.
- Ensure compliance policies, manuals and materials are up-to-date and conform to regulatory requirements/firm policies.
- Identify where agent training is need and work with the Training team to create it.
- Manage a team and support their growth and career development.

**Qualifications**:

- University degree in a business field, or equivalent experience
- Seven years of financial services industry experience
- Four years of compliance related experience
- Two years of related management experience
- Strong knowledge of regulations and industry rules for retail mutual funds and life insurance products
- Experience with marketing approvals, trade supervision, loan approvals, complaints/investigations, branch audits and MFDA/regulatory audits
- Strong problem-solving and decision-making skills
- Written and oral communication skills and interpersonal skills to work with regulators, advisors, clients, and other stakeholders
- Organizational and time-management skills to monitor and meet deadlines
- Proficiency using MS Office tools

Preferred Qualifications
- CSC (Canadian Securities Course)
- PDO (Partners, Directors and Officers) Course
- BM (Branch Manager) examination course
- Extensive experience in the financial services industry
- Extensive compliance related experience
- Management experience
- Bilingual in English and French (Not Required)

Working Conditions
- Hybrid office environment
- Possible occasional 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 w

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