Sales Supervision Principal (Remote)

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
Conduct suitability review of new business and provide compliance oversight of registered representatives.Job Description

Responsibilities

• Conduct and oversee account reviews for client's best interest.
• Makes decisions for acceptance or denial of new and inforce fixed and life business.
• Work with agents to reduce overall risk through ongoing performance monitoring, training and guidance.
• Review fixed and life insurance business for adherence to business line processes and controls.
• Review audit reports for quality and adherence of business guidelines.
• Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
• Assist in the management and maintenance of suitability files for the insurance agency.
• Handle calls and inquires to ensure inquiries are resolved satisfactorily, also to include incoming calls.
• Assist with training, licensing and registration as needed.
• Email and correspondence review.
• Perform additional supervisory and compliance functions as needed.

Qualifications

• Bachelor's degree in business-related field, or equivalent work experience.
• Two years of suitability or best interest review experience, investment sales supervision, or similar work.
• Life license, or obtain within six months hire
• In-depth knowledge of compliance, suitability issues and state insurance regulations
• Strong written and verbal communication skills.
• Analytical and decision-making skills.
• Organizational skills and the ability to prioritize multiple priorities
• Microsoft Dynamics Experience
• Proficiency using MS Office (Word, Excel).

Preferred Qualifications:

• Finra Series 26

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to the Colorado Equal Pay for Equal Work Act and Equal Pay Transparency Rules. It is estimated based on what a successful Colorado applicant might be paid. It assumes that the successful candidate will be in Colorado or perform the position from Colorado. Similar positions located outside of Colorado will not necessarily receive the same compensation. **

Compensation:

The Salary for this position generally ranges between $47,500-$55,000. This range is an estimate, based on potential employee qualifications, operational needs and other considerations permitted by law. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2.

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion.

#LI-REMOTE

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
• Stock Purchase Plan
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off
• Paid Holidays
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave
• 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, the company sponsors 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 and provide a supportive environment for raising diversity awareness and promoting inclusive behavior.

Giving Back

Transamerica believes our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a combination of financial grants and the volunteer commitment of our employees, this foundation supports nonprofit organizations focused on the education, health, and well-being of the communities where we live and work.

https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation

Transamerica's Parent Company

Aegon acquired the Transamerica business in 1999. Aegon's roots go back more than 175 years to the first half of the nineteenth century. Since then, Aegon has grown into an international company, with businesses in the Americas, Europe, and Asia. Today, Aegon is one of the world's leading financial services organizations, providing life insurance, pensions, and asset management. 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.

Websites

Transamerica | Protecting Your Wealth and Health since 1906

Aegon Group Corporate Website | Aegon

Management Team

Transamerica Leadership - Standing For Financial Innovation Since 1906 | Transamerica