bank branch manager
Title posted on ZipRecruiter -
Regional Branch Manager-Compliance Tier1 Supervision
Posted on
September 11, 2024
by
Employer details
Transamerica
Job details
<h3>Job Description</h3><div>Job Description<div><p>As part of the World Financial Group (WFG) /Transamerica compliance team, 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.</p><p>Responsibilities</p><ul><li>Pre-trade Know Your Client (KYC) review.</li><li>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.</li><li>Tier-1 Trade Reviews - Post-trade reviews of transactions.</li><li>Provide support and act as an information resource for APs.</li><li>Learn and understand WFGS policies and procedures.</li><li>Provide support to APs and direct to other resources as appropriate.</li><li>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.</li><li>Visit branch locations responsible for supervising as required.</li></ul><p>Qualifications</p><ul><li>Two years of compliance experience with an MFDA registered dealer or related experience in the financial services industry</li><li>Experience conducting non-financial audits for firms registered in the securities industry</li><li>Knowledge of relevant industry practices, techniques and standards, concepts and principles</li><li>Completion of the Investment Funds of Canada Course (IFIC) or the Canadian Securities Course (CSC)</li><li>Completion of the Branch Manager's Examination Course (BM) or the Branch Manager's Course (BMC)</li><li>Completion of Life License Qualification Program (or obtain within 12 months of hire)</li><li>Life Insurance License (or obtain within 12 months of hire)</li><li>Ability to obtain Mutual Fund license as needed</li><li>Ability to prioritize multiple projects in a fast paced environment</li><li>Organizational skills and attention to detail</li><li>Communication and interpersonal skills</li><li>Results driven and customer focused</li></ul><p>Preferred Qualifications</p><ul><li>College diploma and/or university degree</li></ul><p>Working Conditions</p><ul><li>Office environment</li><li>Occasional travel for branch visits within Ontario and out of province</li></ul><p> </p><p> </p></div>Company Description<div>About Us <br><br>At 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. <br><br>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. <br><br>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. <br><br>Who We Are <br><br>Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We're a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica's dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America's 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, inc
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LocationToronto, ON
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Workplace information
On site
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Salary$88,356.52YEAR annually
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Terms of employment
Permanent employmentFull time
- Start date
Starts as soon as possible
- vacancies
1 vacancy
- Source
ZipRecruiter
#3d6cdc743
Advertised until
2024-10-10
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