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Transamerica · 2 days ago

Sales Supervision Principal

Denver, Colorado

Full-time

Onsite

Mid, Senior Level

$55K/yr - $67K/yr

2+ years exp

Transamerica is a financial services company dedicated to helping people achieve financial freedom. The Sales Supervision Principal will conduct suitability reviews of new business and provide compliance oversight of registered representatives, ensuring adherence to regulatory standards and firm policies.

Financial ServicesImpact InvestingInsurance

Responsibilities

Conduct and oversee account reviews for client’s best interest

Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance

Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls

Review calls and call reports for quality and adherence of business guidelines

Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations

Assist in the management of OSJ files for RIA, broker/dealer and insurance agency

Assist with the regulatory requirement of advisory annual reviews

Assist with licensing and registration

Email and correspondence review

Perform special supervisory reviews as assigned

Qualification

Suitability review experienceFINRA Series 6Securities productsBachelor’s degreeFINRA Series 63Analytical skillsMS Office proficiencyCommunication skillsAttention to detail

Required

Bachelor's degree in finance or business-related field, or equivalent work experience

Two years of suitability or best interest review experience, investment sales supervision, or similar work

FINRA Series 6 or 7

FINRA Series 63, 26, 65, or 66, 24; or obtain within six months

Thorough knowledge of securities products, FINRA, SEC and DOL regulations

Strong written and verbal communication skills

Analytical and decision-making skills

Attention to detail

Proficiency using MS Office (Word, Excel)

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

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

Glassdoor3.2

Transamerica is a private holding company that provides services for various life insurance companies and investment firms. It is a sub-organization of Aegon.

Founded in 1904

Cedar Rapids, Iowa, USA

5001-10000 employees