Regional Branch Manager - Toronto, Canada - Transamerica
Description
Job FamilyRegulatory Compliance
- About Us
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.
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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, including mutual funds, annuities, stable value solutions, as well as investment management services.
What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).
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.
Job Description:
Responsibilities:
- Pretrade Know Your Client (KYC) review.
- 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.
- Tier1 Trade Reviews
- Posttrade reviews of transactions.
- Provide support and act as an information resource for APs.
- Learn and understand WFGS policies and procedures.
- Provide support to APs and direct to other resources as appropriate.
- Visit branch locations responsible for supervising as required.
Qualifications:
- Two years of compliance experience with an MFDA registered dealer or related experience in the financial services industry
- Experience conducting nonfinancial audits for firms registered in the securities industry
- Knowledge of relevant industry practices, techniques and standards, concepts and principles
- Completion of the Investment Funds of Canada Course (IFIC) or the Canadian Securities Course (CSC)
- Completion of the Branch Manager's Examination Course (BM) or the Branch Manager's Course (BMC)
- Completion of Life License Qualification Program (or obtain within 12 months of hire)
- Life Insurance License (or obtain within 12 months of hire)
- Ability to obtain Mutual Fund license as needed
- Ability to prioritize multiple projects in a fast paced environment
- Organizational skills and attention to detail
- Communication and interpersonal skills
- Results driven and customer focused
- College diploma and/or university degree
- Hybrid environment: 2 days a week Tuesday/Wednesday in North York
- Occasional travel for branch visits within Ontario and out of province
- 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 in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request._
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
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