Job Description

Job Family Regulatory ComplianceAbout UsAt Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment \xe2\x80\x94 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.Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit .Who We AreTransamerica has been making financial services available to the many, not just the few, for more than 100 years. We\xe2\x80\x99re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica\xe2\x80\x99s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America\xe2\x80\x99s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.What We DoTransamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology). Summary Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.esponsibilities

• Pre-trade Know Your Client (KYC) review.
• Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
• Tier-1 Trade Reviews - Post-trade reviews of transactions.
• Provide support and act as an information resource for APs.
• Learn and understand WFGS policies and procedures.
• Provide support to APs and direct to other resources as appropriate.
• Review and report as required any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
• Visit branch locations responsible for supervising as required.

Qualifications

• Two years of compliance experience with an MFDA registered dealer or related experience in the financial services industry
• Experience conducting non-financial audits for firms registered in the securities industry
• Knowledge of relevant industry practices, techniques and standards, concepts and principles
• Completion of the Investment Funds of Canada Course (IFIC) or the Canadian Securities Course (CSC)
• Completion of the Branch Manager\xe2\x80\x99s Examination Course (BM) or the Branch Manager\xe2\x80\x99s Course (BMC)
• Completion of Life License Qualification Program (or obtain within 12 months of hire)
• Life Insurance License (or obtain within 12 months of hire)
• Ability to obtain Mutual Fund license as needed
• Ability to prioritize multiple projects in a fast paced environment
• Organizational skills and attention to detail
• Communication and interpersonal skills
• Results driven and customer focused

Preferred Qualifications

• College diploma and/or university degree

Working Conditions

• Hybrid environment: 2 days a week Tuesday/Wednesday in North York
• Occasional travel for branch visits within Ontario and out of province

What We OfferFor eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.Compensation BenefitsCompetitive PayBonus for Eligible EmployeesBenefits PackagePension Plan401k MatchEmployee Stock Purchase PlanTuition ReimbursementDisability InsuranceMedical InsuranceDental InsuranceVision InsuranceEmployee DiscountsCareer Training & Development OpportunitiesHealth and Work/Life Balance BenefitsPaid 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 DollarsParental Leave \xe2\x80\x93 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 AssistanceEmployee Assistance ProgramCollege Coach ProgramBack-Up Care ProgramPTO for Volunteer HoursEmployee Matching Gifts ProgramEmployee Resource GroupsInclusion and Diversity ProgramsEmployee Recognition ProgramReferral Bonus ProgramsPeer Recognition Program (BRAVO)

• As of December 31, 2022

Inclusion & DiversityWe believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We\xe2\x80\x99re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.Giving BackWe believe our responsibilities extend beyond our corporate walls. That\'s why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.Transamerica\xe2\x80\x99s Parent Companyacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

Transamerica