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

Responsibilities

  • Conduct and oversee account reviews for client’s best interest.
  • Preapprove complex products prior to distribution to clients.
  • Provide compliance training and guidance.
  • Ensure adherence to business line processes and controls.
  • Track and assist with investment issues and complaints.
  • Track quality reports and identifying potential issues.
  • Manage OSJ files for RIA, broker/dealer and insurance agency.
  • Certify the regulatory requirement for the RIA are being completed.
  • Assist with licensing and registration issues.
  • Investigate regulatory violations, sales practice improprieties, or other policy violations.
  • Assist with the preparation for regulatory audits.
  • Perform Principal guidance and training, and provide supervisory feedback.


Qualifications

  • Bachelor’s degree in finance or business-related field, or equivalent work experience.
  • Five years of suitability/best interest review experience, investment sales supervision, or similar work.
  • FINRA Series 6 or 7.
  • FINRA Series 63, 26, 65, or 66, 24.
  • Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
  • Ability to analyze complex issues and recommend solutions.
  • Strong written and verbal communication skills.
  • Attention to detail.
  • Proficiency in MS Office (Word, Excel).


Preferred Qualifications


    Working Conditions

    • Office Environment


     

    Compensation

    The salary for this position generally ranges between $65,000 - $75,000 annually/per hour. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) 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 based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

    Disclaimer:
    Beware of fake job offers!

    We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

    • We will never request personal information such as ID or payment for equipment upfront.

    • Official offers are sent via DocuSign following a verbal offer—not through text or email.