Conduct branch office inspections to monitor and assess compliance with Transamerica Financial Advisors, Inc. and World Financial Group, Inc. policies, procedures and industry regulations. Identify potential risks and recommend education and policy requirements for registered representatives and agents.

Responsibilities:

  • Coordinate and schedule inspections with assigned offices

  • Prepare for and perform onsite reviews, including examining books and records, computer systems, and physical premises to identify policy and regulatory gaps.

  • Document and report findings of the inspection; follow up to ensure identified issues are addressed and resolved.

  • Conduct compliance training at office locations as part of the branch inspection program.

  • Work on special projects as assigned.

  • Ensure timely submission of travel expenses and adherence to Transamerica’s travel policy.

Qualifications:

  • Bachelor’s degree in business, marketing, finance, or relevant field, or equivalent education and experience

  • Experience in a compliance or related role working directly with financial professionals (typically two to five years)

  • FINRA Series 26

  • Knowledge of financial industry practices, techniques, and standards used for branch inspections

  • Ability to coordinate and prioritize work assignments in a fast-paced environment

  • Attention to detail and accuracy with excellent organizational and communication skills

  • Relationship driven and customer focused

  • Proficient with Microsoft Office suite

Preferred Qualifications:

  • FINRA Series 24

  • Experience conducting inspections for retail broker-dealers, registered investment advisors, and/or insurance companies

Working Conditions:

  • Office or hybrid office/remote environment

  • Extensive travel (50%+) daily or extended periods

  • Valid driver’s license and vehicle required for local travel

Compensation:

**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 $62,000 - $70,000 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.

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.

This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.