Sr Sales Supervision Principal
Transamerica, Baltimore, MD, United States
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.
Job Family Regulatory Compliance
Job Description Summary Conduct suitability review of new business and provide compliance oversight of registered representatives.
Responsibilities
Conduct and oversee account reviews for client’s best interest.
Preapprove complex products prior to distribution to clients.
Provide compliance training and guidance.
Ensure adherence to business line processes and controls.
Track and assist with investment issues and complaints.
Track quality reports and identifying potential issues.
Manage OSJ files for RIA, broker/dealer and insurance agency.
Certify the regulatory requirement for the RIA are being completed.
Assist with licensing and registration issues.
Investigate regulatory violations, sales practice improprieties, or other policy violations.
Assist with the preparation for regulatory audits.
Perform Principal guidance and training, and provide supervisory feedback.
Qualifications
Bachelor’s degree in finance or business-related field, or equivalent work experience.
Five years of suitability/best interest review experience, investment sales supervision, or similar work.
FINRA Series 6 or 7.
FINRA Series 63, 26, 65, or 66, 24.
Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
Ability to analyze complex issues and recommend solutions.
Strong written and verbal communication skills.
Attention to detail.
Proficiency in MS Office (Word, Excel).
Working Conditions
Office Environment
Compensation The salary for this position generally ranges between $65,000 - $75,000 annually/per hour. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
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Job Family Regulatory Compliance
Job Description Summary Conduct suitability review of new business and provide compliance oversight of registered representatives.
Responsibilities
Conduct and oversee account reviews for client’s best interest.
Preapprove complex products prior to distribution to clients.
Provide compliance training and guidance.
Ensure adherence to business line processes and controls.
Track and assist with investment issues and complaints.
Track quality reports and identifying potential issues.
Manage OSJ files for RIA, broker/dealer and insurance agency.
Certify the regulatory requirement for the RIA are being completed.
Assist with licensing and registration issues.
Investigate regulatory violations, sales practice improprieties, or other policy violations.
Assist with the preparation for regulatory audits.
Perform Principal guidance and training, and provide supervisory feedback.
Qualifications
Bachelor’s degree in finance or business-related field, or equivalent work experience.
Five years of suitability/best interest review experience, investment sales supervision, or similar work.
FINRA Series 6 or 7.
FINRA Series 63, 26, 65, or 66, 24.
Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
Ability to analyze complex issues and recommend solutions.
Strong written and verbal communication skills.
Attention to detail.
Proficiency in MS Office (Word, Excel).
Working Conditions
Office Environment
Compensation The salary for this position generally ranges between $65,000 - $75,000 annually/per hour. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
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