Transamerica · 8 hours ago
Manager, Compliance Branch Inspections
United States
Full-time
Remote
Mid, Senior Level
$100K/yr - $110K/yr
5+ years expTransamerica is a financial services company focused on helping people achieve financial freedom. The Manager of Compliance Branch Inspections will direct day-to-day branch inspection operations and manage a team of branch examiners to ensure compliance with firm policies and regulatory standards.
Financial ServicesImpact InvestingInsurance
No H1B
Responsibilities
Manage a team of branch examiners, providing ongoing training, guidance, and support to ensure accuracy and consistency in the application of firm policy and regulatory standards
Oversee inspections to ensure branch examiners adhere to department policies and procedures
Develop and maintain inspection program material, including updates to modules and communications, and conduct periodic testing of inspection modules and collaborate with the platform vendor as needed
Prepare for and perform on-site reviews, including examining books and records, computer systems, and physical premises to identify policy and regulatory gaps
Develop and provide training to WFG and TFA financial professionals to close knowledge gaps or course correct trends (e.g. creating bulletins, resource guides, and/or providing guidance to the field as appropriate)
Monitor regulatory changes and analyze impact to policies and procedures, taking action as appropriate
Develop and deliver comprehensive quarterly and ad hoc reporting that synthesizes examination findings, tracks corrective actions, and provides senior leadership with clear insights to drive informed decision‑making and operational accountability
Foster collaborative and productive relationships with the field, various home office personnel, vendors and other internal and external partners
Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency
Qualification
Required
Bachelor's degree in a business field or equivalent experience
Five years of relevant compliance or field supervision experience
Two years of experience in the securities industry
Series 7 and 24 or obtain within six months of hire
Excellent written and verbal communication skills with ability to effectively negotiate and influence
Strong analytical and reporting skills
Strong organizational skills and attention to detail
Preferred
Supervisory/management experience
Series 65/66
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
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
Funding
Current Stage
Late StageTotal Funding
unknown1999-02-19Acquired
Leadership Team
Will Fuller
Chief Executive Officer
Andrew Yorks
Chief Investment Officer
Recent News
2025-12-21
Company data provided by crunchbase