Transamerica · 2 hours ago
Regional Manager - Branch Supervision
United States
Full-time
Remote
Mid, Senior Level
$67K/yr - $87K/yr
5+ years expTransamerica is a financial services company that has been serving everyday people for over a century. The Regional Manager - Branch Supervision will provide supervision over the securities activities of Branch Office Supervisors and Registered Representatives in an assigned region, ensuring compliance and effective training and guidance within the team.
Financial ServicesImpact InvestingInsurance
Responsibilities
Provide direct supervision of Branch Office Supervisors and Registered Representatives for broker dealer and investment advisory functions; provide supervision, guidance, advice, and training
Maintain files required by the WSPs to be maintained at the branch location for each Branch Office Supervisor and Registered Representatives
Assist in the creation of new branch offices and the development of existing offices
Participate in regulatory examinations within the assigned region
Review and accept or deny requests for non-registered locations
Monitor the activities of Branch Office Supervisors, Registered Representatives and NRLs within the region in accordance with the Firm’s written supervisory procedures
Monitor the performance of Branch Office Supervisors to ensure they are able to properly supervise the number of Registered Representatives assigned to them
Designate, reviews and remove Branch Office Supervisor status as needed
Makes decisions for acceptance or denial of new applicants and, when necessary, for the suspension or termination of Branch Office Supervisors and Registered Representatives
Visit branch offices periodically to review and monitor for adherence to company policies and procedures
Review annual audit report and implement procedural changes to ensure that identified deficiencies are not repeated
Reviews written correspondence and communications with the public in accordance with company policies as needed
Review and approve, or deny, outside business activities and private securities transactions requested by Branch Office Supervisors and Registered Representatives
Perform final review and acceptance of Form U4s for applicants, including interviews with the sponsoring Branch Office Supervisor and/or applicant, and/or requests for additional supporting documentation. Approve/recommend Heightened Supervisory Agreement (HSA), or refer to Special Review Committee
Implement, monitor, and dissolve HSAs within the region
Review and accept, or deny, requests from Branch Office Supervisors for assignments or reassignments of Registered Representatives
Monitor Registered Representatives compliance with Firm and regulatory continuing education requirements
Review and monitor Branch Office Supervisor and Field Representative completion and compliance with the Firm’s annual compliance meeting and Firm element requirements
Review and monitor Branch Office Supervisor and Field Representative emails to ensure compliance with Firm policies
Handle calls and inquires during regions office hours to ensure inquiries are resolved satisfactorily, including incoming calls on the RBM call line
Refer to and provide input to the Compliance Division on regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and/or regulatory requirements as needed
Periodically attend public events conducted by TFA Field Representatives to ensure compliance with Firm policies
Create, facilitate and promote Firm training programs as deemed necessary by management
Perform additional supervisory and compliance functions as needed
Qualification
Required
Bachelor's degree in a business-related field or equivalent experience
Five years of securities industry related experience
FINRA Series 6 and 26 (and obtain 7 and 24 licenses within one year)
In-depth knowledge of compliance, suitability issues, securities products, and FINRA regulations
Strong written/oral communication and interpersonal skills
Facilitation and training experience
Organizational skills and the ability to prioritize multiple priorities
Proficiency using MS Office projects
Preferred
FINRA Series 24, 65/66, 53/51
Benefits
Competitive Pay
Bonus for Eligible Employees
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
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
Company
Transamerica
Transamerica is a private holding company that provides services for various life insurance companies and investment firms. It is a sub-organization of Aegon.
5001-10000 employees
H1B Sponsorship
Transamerica has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (39)
2024 (33)
2023 (25)
2022 (52)
2021 (42)
2020 (46)
Funding
Current Stage
Late StageTotal Funding
unknown1999-02-19Acquired
Leadership Team
Will Fuller
Chief Executive Officer
Jason Frain
Head of Retirement Solutions
Recent News
2025-12-21
Company data provided by crunchbase