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Company

Transamerica · 8 hours ago

Manager, Sales Supervision - Business Review

United States

Full-time

Remote

Senior Level, Lead/Staff

$82K/yr - $105K/yr

8+ years exp

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Responsibilities

Lead and mentor team of sales supervision principals responsible for the review and approval of securities business; provide direction and training; ensure service level agreements and key performance indicators are met.

Oversee the development and implementation of departmental desktop procedures and written supervisory procedures; maintain and provide updates as needed.

Provide guidance and training to the business review team.

Act as a member of the Escalation Committee for business review cases considered outside of firm guidelines; develop reporting and track escalated cases; provide guidance as needed during escalated reviews.

Partner with key business partners to maintain an effective supervisory structure and identify opportunities for improvement; participate in cross-department or project meetings as needed.

Responsible for the engagement and management of key supervisory tools and platforms used as part of business submission and review process (e.g., RightBRIDGE).

Conduct quality control reviews of approved business review cases.

Participate in the review and approval of prospective new products prior to distribution to clients.

Provide compliance training and guidance to field representatives; develop field-facing training content as needed.

Track quality reports, analyze trends, identify issues and provide potential solutions.

Investigate regulatory violations, sales practice improprieties, or other policy violations related to business review; provide recommendations to address and resolve issues.

Assist with responses related to regulatory audits.

Qualification

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Securities industry experienceSuitability review experienceInvestment sales supervisionFINRA Series 7FINRA Series 24FINRA Series 66Securities knowledgeInsurance products knowledgeFINRA regulations knowledgeSEC regulations knowledgeDOL regulations knowledgePeople managementChange managementComplex issue analysisMS Office proficiency

Required

Bachelor’s degree in finance or a business field, or equivalent experience

Considerable securities industry related experience, suitability/best interest review experience, investment sales supervision, or similar work (typically eight or more years)

FINRA Series 7, 24, 66 (or 63 and 65), 51 (or 53)

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

Experience managing people and leading change initiatives

Ability to analyze complex issues and recommend solutions

Strong written and verbal communication skills

Excellent attention to detail

Proficiency in 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

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