TransAmerica Technology Services
Sr Sales Supervision Principal
Work From Home, USA · Principal
Sponsorship not specified$70k-$80kDetected 26 days ago
ComplianceExcelAuditingProcess ImprovementResearchLeadershipCommunicationCollaborationProblem SolvingMentoringMicrosoft OfficeInternal Audit
About the role
- We understand the potential of leveraging the talents of a diverse workforce.
- We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.
- Our insurance, retirement, and investment solutions help people make the most of what's important to them.
Responsibilities
- Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
- Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed.
- Strengthen and maintain relationships with financial professionals and support staff and provide complex financial investment product subject matter expertise to the firm's financial professionals, and internal partners.
- Develop and provide training and guidance on a variety of topics, such as business submission process, firm requirements, and best interest requirements.
Requirements
- Bachelor's degree in finance, business, or a related field, or equivalent professional experience
- Five years of experience in suitability/best interest review, investment supervision, or a related compliance function
- Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
- FINRA Series 7
- FINRA Series 24
- FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain within 12 months from date of job entry date
- FINRA Series 51 or 53, or obtain within 12 months from job entry date
- Excellent analytical, problem-solving, and decision-making skills
- Exceptional written and verbal communication with high attention to detail
- Proven ability to manage multiple priorities in a fast-paced environment
- Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)
- Preferred Qualifications
Nice to have
- Experience with business processing, surveillance, and Reg BI platforms such as Docupace, Wealthscape, FIS, and RightBRIDGE
- Knowledge of process improvement methodologies and technology solutions (such as AI) to enhance business performance
- We will never request personal information such as ID or payment for equipment upfront.
- Official offers are sent via DocuSign following a verbal offer-not through text or email
- Employee Discounts
- Career Training & Development Opportunities
- Adoption Assistance
- Employee Assistance Program
Compensation
- The Salary for this position generally ranges between $70,000-$80,000 annually.
Benefits
- For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
- Compensation Benefits
- Bonus for Eligible Employees
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
Company info
- We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.
- Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.
- We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good - for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.
- What We Do
- At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward.
- Transamerica is organized into three distinct businesses.
- These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.
- 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.
- We believe everyone deserves to live their best life.
- More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.
- Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide.
Equal opportunity
- 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.
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This listing is sourced directly from TransAmerica Technology Services's careers page and normalized into a canonical job model.