Job Information
Aegon Asset Management Compliance/Tier1 Supervision-(Regional Branch Manager) Bilingual French in Toronto, Ontario
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 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 A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 people and have approximately 31.7 million customers . * For more information, visit www.transamerica.com .
Who We Are
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).
Job Description Summary
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
Pre-trade 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.
Tier-1 Trade Reviews - Post-trade 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.
Review and report as required any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
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
Bilingual; English/French (oral and written)
Experience conducting non-financial 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
Preferred Qualifications
College diploma and/or university degree
Working Conditions
Hybrid environment: 2 days a week Tuesday/Wednesday in North York
Occasional travel for branch visits within Ontario and out of province
Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.*
The salary for this position generally ranges between $67,000 - $77,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus of 7.5% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
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.
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 Em ployees
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 s ervice 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)
- As of December 31, 2022
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 - sponsor ed, 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, th e foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.
https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation
Transamerica’s Parent Company
Aegon (http://www.aegon.com/) acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 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.
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 A egon , an integrated, diversified, international financial services group . The A egon companies employ over 2 1,500 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. (https://transamerica.com/sites/default/files/files/e070d/job_app_0123.pdf)