Compliance Field Analyst- Wfg - Toronto, Canada - Transamerica

Transamerica

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Job Family

Regulatory Compliance

Who We Are

Transamerica has been helping people feel better about the future for more than 100 years. We provide investment, retirement, and life insurance solutions to more than 11 million customers throughout the U.S. But the way we see it, our responsibility goes beyond our clients' accounts.

We're in the business of helping people live well and empowering them to create a better tomorrow through the financial and health-related habits they form today.

We help people prepare by providing solutions that consider the whole picture.

What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, Employee Benefits, and Financial Assets), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People, Places & Brand; Risk; and Technology).

Job Description Summary

Reporting to the Compliance Manager, the Compliance Officer (Field Auditor) will conduct field office examinations in an effort to monitor and assess adherence to World Financial Group Canada Inc.

policies and procedures and industry regulation.

The Compliance Officer (Field Auditor) will use the information obtained during the course of field office examinations to assess potential risk and determine future education and policy requirements.

Job Description:

Responsibilities:

Prepare for onsite audit in accordance with Audit Program utilizing current systems and Head Office resources.
Conduct daily onsite audits of field/branch offices which include file/systems review along with Advisor Interviews.
Prepare Branch Audit Reports.
Ensure Closure of Branch Audit.
Conduct compliance training at branch locations.
Schedule Audit calendar and report findings to Senior Management.
Consistently assess/enhance the Audit Program.
Assist with and respond to Agent and Client Inquiries.
Work on Special Projects as required.

Qualifications:

Successful completion of The Investment Funds of Canada Course (IFIC) or The Canadian Securities Course (CSC).
Successful completion of the Branch Manager's Examination Course (BM) or The Branch Manager's Course (BMC) or willing to complete the course within two months.
One year of experience in Advisor facing compliance or related role.
Frequent use and general knowledge of industry practices, techniques and standards.
Ability to travel daily and for extended periods (50% travel within the area & throughout Canada).
Ability to coordinate and prioritize multiple projects in a fast paced environment
Attention to detail and accuracy with excellent organizational and communication skills.
Results driven and customer focused.
Proficient with Microsoft Office Suite.

Preferred Qualifications

Post-Secondary education.
Two years of experience in the financial industry.
Experience in conducting nonfinancial audits for firms registered in the securities industry.
Bilingual in French.

Working Conditions

Office environment.

Extensive travel.

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 EmployeesBenefits Package- Pension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance Vision Insurance Employee Discounts Career Training & Development OpportunitiesHealth 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 College Coach 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 Peer Recognition Program (BRAVO)Inclusion & Diversity

Transamerica has made a strong commitment to inclusion and diversity, and we are proud to be an organization where all perspectives are valued.

Transamerica has earned recognition for its strong efforts year-over-year, including from the Human Rights Campaign's Foundation Corporate Equality Index, the Diversity Best Practices Inclusion Index, and Seramount's "100 Best Companies" list.

In addition, as part of Transamerica's commitment to maintaining an inclusive workplace,