Note: The job is a remote job and is open to candidates in USA. Transamerica is a financial services company focused on helping people live their best lives. The Manager of Compliance Branch Inspections will direct day-to-day operations for branch inspections, manage a team of examiners, and ensure adherence to regulatory standards and firm policies.

Responsibilities

• Manage a team of branch examiners, providing ongoing training, guidance, and support to ensure accuracy and consistency in the application of firm policy and regulatory standards
• Oversee inspections to ensure branch examiners adhere to department policies and procedures
• Develop and maintain inspection program material, including updates to modules and communications, and conduct periodic testing of inspection modules and collaborate with the platform vendor as needed
• Prepare for and perform on-site reviews, including examining books and records, computer systems, and physical premises to identify policy and regulatory gaps
• Develop and provide training to WFG and TFA financial professionals to close knowledge gaps or course correct trends (e.g. creating bulletins, resource guides, and/or providing guidance to the field as appropriate)
• Monitor regulatory changes and analyze impact to policies and procedures, taking action as appropriate
• Develop and deliver comprehensive quarterly and ad hoc reporting that synthesizes examination findings, tracks corrective actions, and provides senior leadership with clear insights to drive informed decision‑making and operational accountability
• Foster collaborative and productive relationships with the field, various home office personnel, vendors and other internal and external partners
• Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency

Skills

• Bachelor's degree in a business field or equivalent experience
• Five years of relevant compliance or field supervision experience
• Two years of experience in the securities industry
• Series 7 and 24 or obtain within six months of hire
• Excellent written and verbal communication skills with ability to effectively negotiate and influence
• Strong analytical and reporting skills
• Strong organizational skills and attention to detail
• Supervisory/management experience
• Series 65/66

Benefits

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

Company Overview