Regional Branch Manager

6 days 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

Performs branch supervisory functions in accordance with regulatory and company requirements. Supervises the activities of Approved Persons engaged in selling mutual funds.

**Job Description**:
Job Description

Responsibilities
- Pre-trade Know Your Client (KYC) review.
- Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person is unavailable or it is not feasible for the client to work with the Approved Person.
- Tier-1 Trade Reviews - Post-trade reviews of transactions.
- Provide support and act as information resource for Approved Persons.
- Learn and understand WFGS policies & procedures.
- Provide direct support to APs and direct to other resource(s) where appropriate.
- Visit branch locations responsible for supervising as required. Some locations may require quarterly visitations.
Qualifications
- Two years of compliance experience within an MFDA registered dealer and/or related industry experience.
- Successful completion of The Investment Funds of Canada Course (IFIC) or The Canadian Securities Course (CSC).
- Successful completion of The Branch Manager’s Examination Course (BM) or The Branch Manager’s Course (BMC) and the Officers, Partners and Directors Course (PDO) or Mutual Dealers Compliance Course or other equivalents.
- Ability to attain licensure as needed.
- Three years of compliance experience in the financial industry.
- Experience conducting non-financial audits for firms registered in the securities industry.
- Knowledge of relevant industry practices, techniques and standards, concepts and principles.
- Experience in Advisor facing compliance role.
- 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.
- Extensive travel; daily and for extended periods.

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 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 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 foc

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