Job Description

Job Family
Regulatory Compliance
About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. 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.

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.

Who We Are

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

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. 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.

Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.For more information, visit transamerica.com. Summary
Resume du poste

Diriger une equipe de professionnels de la conformite chargee de gerer les programmes de conformite en matiere d'assurance au Quebec pour World Financial Group Insurance Agency of Canada Inc. (WFGIAC), ainsi que le programme de confidentialite pour WFG Canada (WFGIAC et WFG Securities Inc.). Veiller au respect de toutes les exigences reglementaires applicables au Quebec et de la Loi sur la protection des renseignements personnels et les documents electroniques (LPRPDE) federale. Posseder une solide experience en gestion de la conformite reglementaire, en tests de conformite, en formation et en gestion du personnel, en mettant l'accent sur l'excellence operationnelle dans un environnement dynamique.



Job Summary: Lead a team of compliance professionals to manage Quebec insurance compliance programs for World Financial Group Insurance Agency of Canada Inc. (WFGIAC), and the Privacy program for WFG Canada (WFGIAC and WFG Securities Inc.). Ensure compliance with all applicable Quebec regulatory requirements and the federal Personal Information Protection and Electronic Documents Act (PIPEDA). Possess a strong background in regulatory compliance management, compliance testing, training, and people management, with a focus on operational excellence in a dynamic environment.

ResponsabilitesDiriger l'equipe de conformite du Quebec dans la supervision de la conformite reglementaire des activites d'assurance de WFGIAC. Gerer et ameliorer le programme de confidentialite pour WFG Canada, en veillant au respect de la LPRPDE et des lois provinciales applicables en matiere de confidentialite. Soutenir le responsable quebecois, le chef de la conformite de WFGIAC et le chef de la conformite de WFGS dans leurs relations avec les organismes de reglementation quebecois, notamment l'Autorite des marches financiers (AMF), ainsi qu'avec les organismes de la confidentialite a travers le Canada. Superviser, encadrer et developper une equipe de professionnels de la conformite, en favorisant une culture de haute performance et de collaboration. Superviser les activites de surveillance, de verification et de matiere de conformite propres aux operations du Quebec. Ces activites comprennent, mais ne sont pas limitees a, l'evaluation des dossiers des clients, l'evaluation des activites externes, la verification des succursales d'assurance et la verification des controles internes. Developper et dispenser des programmes de formation en matiere de conformite en francais et en anglais pour les representants en assurance et du personnel interne. Les programmes de formation sur la confidentialite s'adresseront a l'ensemble du Canada. Fournir des conseils et un soutien aux representants sur le terrain en matiere de reglementation et de confidentialite. Promouvoir les ameliorations du programme de conformite du Quebec en tirant parti de l'analyse des donnees et de l'optimisation des processus. Surveiller l'evolution de la reglementation au Quebec et les changements reglementaires en matiere de confidentialite a travers le Canada, en evaluant leur incidence et en mettant en oeuvre les changements necessaires. Collaborer avec les services juridiques, les services charges de la gestion des risques, les services operationnels et d'autres parties prenantes internes afin d'assurer la coherence et l'attenuation efficace des risques. Preparer des rapports et des mises a jour a l'intention de la haute direction et des organismes de reglementation, selon les besoins. Participer a des projets ponctuels, selon les besoins.

QualificationsFormation postsecondaire en commerce ou en finance, ou experience equivalente dans le secteur des services financiers Huit ans d'experience en conformite, confidentialite ou en affaires reglementaires dans le secteur des services financiers ou des assurances Solide connaissance des cadres reglementaires quebecois (par exemple, AMF) et de la legislation canadienne sur la confidentialite (LPRPDE, Loi 25 du Quebec) Experience en leadership et en gestion d'equipe Excellentes aptitudes a la communication en francais et en anglais (ecrites et parlees) A l'aise dans les relations avec les representants agrees en assurance et en fonds communs de placement et les responsables sur le terrain, et capable d'exercer une influence positive sur eux Competences analytiques, organisationnelles et interpersonnelles solides Bilingue - Maitrise (orale et ecrite) du francais et de l'anglais pour accomplir les taches requises et communiquer quotidiennement/frequemment avec un reseau diversifiee d'agents et d'employes, ainsi qu'avec l'equipe de direction de WFGIA, situee en Ontario et aux Etats-Unis

Qualifications prefereesExperience dans un role de conseiller en matiere de conformite ou dans un poste similaire HLLQP/Licence d'assurance de personnes

Conditions de travailEnvironnement de bureau ou hybride bureau/teletravail Deplacements moderes (jusqu'a 25%)

Cette description de poste ne constitue pas un contrat de travail ni une liste exhaustive des responsabilites liees a ce poste. Les gestionnaires peuvent attribuer d'autres taches et responsabilites selon les besoins. Si un employe ou un candidat demande ou necessite un amenagement pour exercer ses fonctions, il convient de contacter le partenaire RH concerne afin d'evaluer la demande d'amenagement.
ResponsibilitiesLead the Quebec compliance team in overseeing regulatory compliance for WFGIAC's insurance operations. Manage and enhance the Privacy Program for WFG Canada, ensuring compliance with PIPEDA and applicable provincial privacy laws. Support the Quebec Responsible Officer, WFGIAC Chief Compliance Officer, and WFGS Chief Compliance Officer in liaising with Quebec regulators, including the Autorite des marches financiers (AMF), as well as applicable privacy regulators across Canada. Supervise, coach, and develop a team of compliance professionals, fostering a high-performance and collaborative culture. Oversee compliance monitoring, testing, and reporting activities specific to Quebec operations. The activities include, but are not limited to, client file assessment, outside activity assessment, insurance branch audit, and internal control testing. Develop and deliver compliance training programs in French and English for insurance representatives and internal staff. Privacy training programs will be for all of Canada. Provide guidance and support to field representatives on regulatory and privacy matters. Champion Quebec compliance program improvements by leveraging data analytics and process optimization. Monitor regulatory developments in Quebec, and privacy regulatory changes across Canada, assessing their impact and implementing necessary changes. Collaborate with Legal, Risk, Operations, and other internal stakeholders to ensure alignment and effective risk mitigation. Prepare reports and updates for senior leadership and regulatory bodies as required. Participate in ad-hoc projects as required.

QualificationsPost-secondary education in business or finance, or equivalent experience in the financial services industry Eight years of experience in compliance, privacy, or regulatory affairs within the financial services or insurance industry Strong knowledge of Quebec regulatory frameworks (e.g., AMF) and Canadian privacy legislation (PIPEDA, QC Law 25) Leadership and team management experience Excellent communication skills in both French and English (written and verbal) Comfortable interacting with and positively influencing licensed insurance and mutual fund representatives and field leaders Strong analytical, organizational, and interpersonal skills Bilingual - Fluent (oral and written) in French and English to complete required job duties and communicate daily/frequently with a diverse agent and employee base, as well as the WFGIA management team, located in in Ontario and throughout the United States.

Preferred QualificationsExperience in an advisor facing compliance or related role HLLQP/Insurance of Persons license

Working ConditionsOffice or hybrid office/remote environment Moderate travel (up to 25%)
This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.
What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation BenefitsCompetitive Pay Bonus for Eligible Employees

Benefits PackagePension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance Vision Insurance Employee Discounts Career Training & Development Opportunities

Health 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 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

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're 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 Back

We 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's Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 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. As of December 31, 2023