Manager, Sales Supervision – Business Review Full Time

Summary:

• Transamerica is seeking a Manager for Sales Supervision in Business Review to lead and manage a team responsible for conducting suitability/best interest reviews of securities business.
• The position offers the opportunity to provide compliance oversight of registered representatives and ensure adherence to service level agreements and key performance indicators.
• Transamerica is part of Aegon, an international financial services group with millions of customers worldwide.
• The company emphasizes innovation, diversity, and work-life balance.

Responsibilities:

• Lead and mentor a team of sales supervision principals responsible for reviewing and approving securities business.
• Oversee the development and implementation of departmental procedures.
• Provide guidance and training to the business review team.
• Act as a member of the Escalation Committee for business review cases outside firm guidelines.
• Partner with key business partners to identify opportunities for improvement.
• Manage key supervisory tools used in the business submission and review process.
• Conduct quality control reviews of business cases.
• Review and approve new products before distribution.
• Provide compliance training to field representatives.
• Track quality reports, analyze trends, and identify issues.
• Investigate regulatory violations and sales practice improprieties.
• Assist with regulatory audit responses.

Requirements:

• Bachelor’s degree in finance or a related business field, or equivalent experience.
• At least eight years of relevant securities industry experience.
• FINRA Series 7, 24, 66 (or 63 and 65), 51 (or 53) certifications.
• Thorough knowledge of securities and insurance products, and related regulations (FINRA, SEC, DOL).
• Experience managing people and leading change initiatives.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication skills.
• Proficiency in MS Office (Word, Excel).

Benefits:

• Competitive salary with an annual bonus up to 15% based on performance.
• Comprehensive benefits package including:
  • Pension Plan
  • 401k Match
  • Employee Stock Purchase Plan
  • Tuition Reimbursement
  • Disability Insurance
  • Medical, Dental, and Vision Insurance
  • Employee Discounts
  • Career Training & Development
• Health and Work/Life Balance Benefits:
  • Paid Time Off (starting at 160 hours annually)
  • Ten (10) paid holidays per year
  • Wellness program with Coaching and Reward Dollars
  • Paid Parental Leave (15 days)
  • Adoption Assistance
  • Employee Assistance Program
  • College Coach Program
  • Back-Up Care Program
  • PTO for Volunteer Hours
  • Employee Matching Gifts Program
• Employee Recognition, Referral Bonus Programs, and Inclusion & Diversity initiatives.