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.  Job Description Summary Perform branch supervisory functions in accordance with regulatory and company requirements. Travel to branch locations, conduct regulatory supervision and facilitate training to ensure Approved Persons (APs) are adhering to regulatory and company requirements. Job Description Responsibilities • Travel to branch locations and conduct supervisory reviews. Provide timely report and updates to key stakeholders. • Collaborate with Regional Branch Managers to identify training opportunities. Deliver agreed upon training to branch location APs. • Supervision of AP sales transactions. • Interact with clients (in a licensed capacity) to facilitate transactions when AP is unavailable. • Provide supervision support and act as an information resource for APs and RBMs. • Provide advanced level application of knowledge regarding WFG Securities Inc. policies and procedures and regulatory guidance to ensure compliance. • Enhanced supervision of APs who may be subject to regulatory or internal supervision. • Participate in special projects as assigned. Engage in department projects as required and provide support to other areas within WFG. Qualifications • Five years experience in the insurance/financial services industry • Two years of compliance and/or supervision experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry • In-depth experience conducting supervision reviews and/or audits for firms registered in the financial industry. Sound judgement and decision-making skills to manage complex situations/topics in a professional manner. • Ability to travel daily and for extended periods to branch locations throughout Canada • Strong knowledge of relevant industry practices, techniques and standards, concepts and principles • Ability to prioritize multiple tasks in a fast-paced environment • Effective organizational skills and sharp attention to detail • Outstanding written and verbal communication skills • Strong relationship management skills to build and maintain relationships with APs and team members. • Ability to maintain composure and professionalism while communicating challenging news/decisions. • Results driven and exemplary customer focused mindset • Valid driver’s license • Completion of all required licenses to supervise mutual fund transactions in Ontario. Must be mutual fund or securities licensed and have Branch Manager proficiency. (reactivate or obtain within 60 days of hire) • Completion of Life License Qualification Program and Life Insurance License (or obtain within 12 months of hire) Preferred Qualifications • College diploma and/or university degree • Experience within financial services industry Working Conditions •Hybrid with 50% travel to branch location Compensation The salary for this position generally ranges between $75,000 - $85,000 (CAD) annually. 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. Please note that this position is currently vacant within the Company. Artificial Intelligence will be used to preliminarily screen potential candidates for this vacancy, but it will not be used to assess – or ultimately select – any applicant for the vacancy Canadian Health and Work/Life Balance Benefits: Competitive Paid Time Off Ten (10) paid holidays per year Ten (10) sick days per year Vitality Wellness Program Parental Leave Adoption Assistance Employee Assistance Program College Coach Program Employee Resource Groups Inclusion and Diversity Programs Employee Recognition Program Referral Bonus Programs Peer Recognition Program (BRAVO) 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 Benefits Competitive Pay Bonus for Eligible Employees Benefits Package Pension 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 Benefits 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 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 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. 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.     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.* For more information, visit www.transamerica.com. * As of December 31, 2022 For more information about Transamerica’s privacy practices, click here.

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