Sales Supervision Principal (Remote)

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

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
Company information

Equal Opportunity Employer:

Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. If you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs, please contact: [email protected].

Technical Assistance:

If you experience technical problems during the application process, please email [email protected].