Regional Branch Manager

1 week ago

Toronto, Canada Transamerica Full time

**Job Family**: Regulatory Compliance

**Who We Are**

Transamerica has been helping people feel better about the future for more than 100 years. We provide investment, retirement, and life insurance solutions to more than 11 million customers throughout the U.S. But the way we see it, our responsibility goes beyond our clients’ accounts. 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).

**Job Description Summary**: Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.

**Responsibilities**:

- Pre-trade Know Your Client (KYC) review.
- Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
- Tier-1 Trade Reviews - Post-trade reviews of transactions.
- Provide support and act as an information resource for APs.
- Learn and understand WFGS policies and procedures.
- Provide support to APs and direct to other resources as appropriate.
- Visit branch locations responsible for supervising as required.

**Qualifications**:

- Two years of compliance experience with an MFDA registered dealer or related experience in the financial services industry
- Experience conducting non-financial audits for firms registered in the securities industry
- Knowledge of relevant industry practices, techniques and standards, concepts and principles
- Completion of the Investment Funds of Canada Course (IFIC) or the Canadian Securities Course (CSC)
- Completion of the Branch Manager’s Examination Course (BM) or the Branch Manager’s Course (BMC)
- Completion of Life License Qualification Program (or obtain within 12 months of hire)
- Life Insurance License (or obtain within 12 months of hire)
- Ability to obtain Mutual Fund license as needed
- Ability to prioritize multiple projects in a fast paced environment
- Organizational skills and attention to detail
- Communication and interpersonal skills
- Results driven and customer focused

Preferred Qualifications
- College diploma and/or university degree

Working Conditions
- Office environment
- Occasional travel for branch visits within Ontario and out of province

**What We Offer**

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 Employees

Benefits Package
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Stock Purchase Plan
- Employee Discounts
- Career Training & Development Opportunities

Health and Work/Life Balance Benefits
- Paid Time Off
- Paid Holidays
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave
- 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)

**Inclusion & Diversity**

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. ERGs are open to all employees and provide a supportive environment for raising diversity awareness and promoting inclusive behavior.

**Giving Back**

Transamerica believes our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a combination of financial grants and the volunteer commitment of our employees, this foundation supports nonprofit organizations focused on the education, health, and well-being of the communities where we live and work.

**Transamerica’s Parent Comp

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