Field Auditor Wfg

6 days ago

Toronto, Canada Transamerica Full time

Job Family Regulatory Compliance
Job Description Summary Reporting to the Compliance Manager, the Compliance Officer (Field Auditor) will conduct field office examinations in an effort to monitor and assess adherence to World Financial Group Canada Inc. policies and procedures and industry regulation. The Compliance Officer (Field Auditor) will use the information obtained during the course of field office examinations to assess potential risk and determine future education and policy requirements. Job Description

**Responsibilities**:
Prepare for onsite audit in accordance with Audit Program utilizing current systems and Head Office resources.
Conduct daily onsite audits of field/branch offices which include file/systems review along with Advisor Interviews.
Prepare Branch Audit Reports.
Ensure Closure of Branch Audit.
Conduct compliance training at branch locations.
Schedule Audit calendar and report findings to Senior Management.
Consistently assess/enhance the Audit Program.
Assist with and respond to Agent and Client Inquiries.
Work on Special Projects as required.

**Qualifications**:
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) or willing to complete the course within two months.
One year of experience in Advisor facing compliance or related role.
Frequent use and general knowledge of industry practices, techniques and standards.
Ability to travel daily and for extended periods (50% travel within the area & throughout Canada).
Ability to coordinate and prioritize multiple projects in a fast paced environment
Attention to detail and accuracy with excellent organizational and communication skills.
Results driven and customer focused.
Proficient with Microsoft Office Suite.

Preferred Qualifications
Post-Secondary education.
Two years of experience in the financial industry.
Life License Qualification Program (LLQP) or Life Insurance experience.
Experience in conducting non-financial audits for firms registered in the securities industry.
Bilingual in French.

Working Conditions
Hybrid work environment
Extensive travel

Why Work for Us

**Total Rewards at Transamerica**: It’s more than a paycheck.

Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mindto help you live your best life, grow personally and professionally - and feel valued for the work you do.

Learn more about our Total Rewards Package.

**Equal Opportunity Employer**:
Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

**Ontario Applicants**:
**Technical Assistance**:

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