Mgr Compliance WFG

3 weeks ago

Toronto, Canada Transamerica Full time

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 unleashed by 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.

Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit.

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States.Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

The insurance and securities industry are highly regulated and always changing so WFG is looking for a highly motivated, energetic person who can adapt to the always changing regulatory environment. The Compliance Manager will work with the Chief Compliance Officer to manage a team of and oversee the day-to-day activities of the insurance and securities programs of World Financial Group (WFG). This candidate needs to be versatile and wants to work in and support all areas of Compliance. This is an exciting role for someone to grow and expand their Compliance experience. Below is a list of duties this candidate would perform but the focus can change depending on the needs of the business and department.

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.Conduct reviews of agent’s business, including working with carriers to obtain necessary information.Monitor for and identify potential sales practice trends.Respond to regulatory inquiries, including collecting information, contacting agents and/or clients and presenting to management.Conduct Compliance testing and when necessary, create corrective action plans and ensure they are completed timely.Review advertising and marketing materials for securities and insurance.Ensure compliance policies, manuals and materials are up-to-date and conform to regulatory requirements/firm policies.Identify where agent training is need and work with the Training team to create it.Manage a team and support their growth and career development.

Qualifications

University degree in a business field, or equivalent experienceSeven years of financial services industry experienceFour years of compliance related experienceTwo years of related management experienceStrong knowledge of regulations and industry rules for retail mutual funds and life insurance productsExperience with marketing approvals, trade supervision, loan approvals, complaints/investigations, branch audits and MFDA/regulatory auditsStrong problem-solving and decision-making skillsWritten and oral communication skills and interpersonal skills to work with regulators, advisors, clients, and other stakeholdersOrganizational and time-management skills to monitor and meet deadlinesProficiency using MS Office tools

Preferred Qualifications

CSC (Canadian Securities Course)PDO (Partners, Directors and Officers) CourseBM (Branch Manager) examination courseExtensive experience in the financial services industryExtensive compliance related experienceManagement experienceBilingual in English and French (Not Required)

Working Conditions

Hybrid office environmentPossible occasional travel

This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

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

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)

* As of December 31, 2022 

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 throughthe Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including theInclusion 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.Theyprovide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back 

Webelieve our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mixof 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 

acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 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.

  • Mgr Compliance Wfg

    6 days ago

    Toronto, Canada Transamerica Full time

    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 unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and...

  • Mgr Global Compliance

    5 days ago

    Toronto, Canada Canada Life Assurance Company Full time

    Mgr Global Compliance **Description: - Temporary Full Time- Job Title**:Manager, Global Compliance** - This role is temporary full-time for a 12-month term (with the possibility for a 6-month extension)_ **Overview** - Part of the Great-West Lifeco Inc. Global Compliance team, this role ensures second line Compliance oversight by supporting global...

  • Mechanical Lead

    6 days ago

    Toronto, Canada MGR Workforce] Full time

    Job Description:Job Description Job Description: Mechanical Lead Location: Calgary (but flexible as the work is across Alberta) Shift : 8:00am-5:00pm Experience: 10+ years Position Overview: The Mechanical Lead for Water/Wastewater Projects is a seasoned professional with extensive experience in installing and managing mechanical equipment, filtration...

  • Compliance Field Analyst- Wfg

    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...

  • Audit & Compliance Manager , Transportation Risk &

    4 days ago

    Toronto, Canada Amazon Canada Fulfillment Services, ULC Full time

    4+ years of compliance program management, legal, governance, audit, risk/loss prevention, or equivalent experience - Bachelor's degree or equivalent - Experience handling confidential information Want to help Earth’s most customer-centric company design, implement and monitor risk mitigation strategies to improve the customer experience and protect...

  • Manager Agent Business Review

    7 days ago

    Toronto, Canada Transamerica Full time

    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 unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and...

  • Regional Branch Manager

    2 weeks ago

    Toronto, Canada Transamerica Full time

    Job Description 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...

  • Regional Branch Manager

    7 days ago

    Toronto, Canada Transamerica Full time

    Job Description 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...

  • Vendor Mgr Iii

    2 days ago

    Toronto, Canada TD Bank Full time

    **TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - TD Business Banking provides financial solutions to Canadian businesses of all sizes across a wide range of industries. In pursuit of The Quest, dedicated Better Business Bankers deliver customized solutions to meet the unique needs of...

  • Vendor Mgr Iii

    1 day ago

    Toronto, Canada TD Bank Full time

    405885BR Technology Solutions Toronto, ON April 17, 2023 Company Overview Department Overview TD Business Banking provides financial solutions to Canadian businesses of all sizes across a wide range of industries. In pursuit of The Quest, dedicated Better Business Bankers deliver customized solutions to meet the unique needs of our customers. Drawing...

  • Regional Branch Manager

    7 days ago

    Toronto, Canada Transamerica Full time

    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 unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and...

  • Business Review Analyst

    6 days ago

    Toronto, Canada Transamerica Full time

    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 unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and...

  • Vendor Mgr Ii

    2 days ago

    Toronto, Canada TD Bank Full time

    **TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - Our Technology strategy is transforming the face of our technology teams, our ITSS shared services capabilities, and the experience of our customers and colleagues. As we accelerate our journey to the Cloud, build Enterprise level...

  • Data Analyst, Agent Business Review

    6 days ago

    Toronto, Canada Transamerica Full time

    Job Family Research & Analytics - General - 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...

  • Dual/relief Shft Mgr, Surveillance-gct

    7 days ago

    Toronto, Canada Great Canadian Full time

    **Position Summary**: Under the general direction of the Surveillance Manager or designate, this position is responsible for overseeing surveillance operations at the sire level on a shift basis. Ensures adherence to all policies and procedures, motivates and leads by example and assist in providing a learning environment while establishing and contributing...

  • Manager, Healthcare Operations

    3 weeks ago

    Toronto, Canada Vision Loss Rehabilitation Canada Full time

    Scope and Summary of Primary ResponsibilitiesThe Manager, Healthcare Operations – Client Care Navigation Dept. is a member of the provincial management team and is responsible for the day to day leadership of registrars and client care navigators. The Manager oversees all services and programs pertaining to registration and client care navigation programs...