Mgr, Compliance Wfg

2 months 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

Work with the Chief Compliance Officer to manage a team of and oversee the day-to-day activities of the Compliance department and the WFG Canada compliance program.

**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.
- Manage the process and coordinate with the CCO regulatory audits/examinations in accordance with SRO and regulatory guidelines.
- Ensure Tier 2 Broker/Dealer supervision processes are completed as scheduled and responses are reviewed/followed up on.
- Ensure Privacy incidents are handled, maintained, and communicated to management, business partners and regulators.
- Lead all Anti-Money Laundering/Financial Crimes examinations, policy preparation and reporting.
- Ensure compliance policies, manuals and materials are up-to-date and conform to regulatory requirements/firm policies.
- Ensure mutual fund licenses and renewals for staff are processed/completed in a timely manner.
- Review and assess outside business activities of Approved Persons, including regular monitoring, sampling, and analyzing.
- Monitor reporting on close supervision, strict supervision, and internal supervision.
- Oversee client reassignments and Winfund reconciliation reports.
- Create and facilitate training based on deficiencies.

Minimum Qualifications:

- Post-secondary education in a business field, or equivalent experience. (University Degree in a business field or equivalent experience)
- Minimum of four years of financial services industry experience.
- Minimum of two years of compliance related 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
- Office environment
- Occasional travel

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 EmployeesBenefits Package- Pension Plan-
- 401k Match-
- Employee Stock Purchase Plan-
- Tuition Reimbursement-
- Disability Insurance-
- Stock Purchase Plan-
- Employee Discounts-
- Career Training & Development OpportunitiesHealth 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 s

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