Investigations - Int Compliance Analyst

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 of 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. 

Who We Are 

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.  

Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them. 

We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms. 

What We Do 

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. 

Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit   

Job Description Summary

The Intermediate Compliance Analyst is responsible for investigating client complaints, conducting market conduct investigations and supporting regulatory requests in relation to WFG Canada's life and health insurance managing general agency (World Financial Group Insurance Agency of Canada Inc) and mutual fund dealer (WFG Securities Inc). This role ensures compliance with internal policies and external regulations, prepares reports and recommends, and communicates findings to stakeholders. The analyst works within the Team to manage multiple cases, maintain accurate records, and support continuous improvement of compliance processes.

Job Description

Responsibilities

• Intake, assess, and investigate client complaints and regulatory inquiries.
• Conduct investigations concerning agent misconduct – gather and analyze information. Prepare clear, detailed investigation reports and present findings to management or disciplinary committees.
• Monitor case progress to ensure timely completion of cases with a strict adherence to deadlines.
• Liaise with various stakeholders ranging from clients, agents, insurance and mutual fund companies and regulators as required.
• Support the development, maintenance and implementation of compliance policies, procedures and training.
• Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.
• May conduct in-person interviews or site visits as needed (up to 10% travel)
• Stay current with regulatory changes and compliance best practices.

Qualifications

• Post-Secondary education or equivalent experience.
• Two years experience in compliance, investigations, or a related area
• Strong analytical, organizational, and time management skills.
• Excellent written and verbal communication skills, including report writing.
• Completion or progress toward the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC), or the Life License Qualification Program
• Frequent use and general knowledge of industry practices, techniques and standards.
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
• Attention to detail and accuracy.
• Results driven and customer focused.
• Proficient with Microsoft Office Suite and Compliance Tracking systems

Preferred Qualifications

• Experience in the financial industry.
• Bilingual in French
• Experience in distribution / mutual fund dealer compliance or related role.

Working Conditions 

• This is a hybrid position, and you may be required 1-3 days in office per week.
• Relocation assistance will not be provided for this position

Compensation

The salary for this position generally ranges between $65,000 - $78,000 CAD annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

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 Employees 

Benefits Package 

• Pension Plan 

• 401k Match

• Employee Stock Purchase Plan

• Tuition Reimbursement

• Disability Insurance

• Medical Insurance

• Dental Insurance

• Vision Insurance

• Employee Discounts

• Career Training & Development Opportunities

Health and Work/Life Balance Benefits 

• Paid Time Off starting at 160 hours annually for employees in their first year of service.

• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars 

• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.

• Adoption Assistance

• Employee Assistance 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

Inclusion & Diversity  

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. 

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, 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. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. 

Giving Back  

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.     

Transamerica's Parent Company  

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has  grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.   

* As of December 31, 2023

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