Conduct supervisory principal review activities for Transamerica Financial Advisors (TFA) financial professionals.

Responsibilities

• Conduct principal review and approval for suitability and client’s best interest on variety of business types, including mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.

• Ensure adherence to business line processes and controls, identifying and recommending ideas for process and procedure improvements.

• Track quality reports and identify potential issues, escalating to leadership as needed.

• Develop and provide training and guidance on a variety of topics, such as business submission process, firm requirements, and best interest requirements.

• Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides

• Research and resolve inquiries received from financial professionals and internal departments related to a variety of topics, including business review, exceptions reports, and investigations.

• Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed.

• Maintain the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with input and feedback to operations and compliance departments.

• Assist with the preparation for regulatory audits, as needed.

• Strengthen and maintain relationships with financial professionals and support staff and provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners.

Qualifications

• Bachelor’s degree in finance, business, or a related field, or equivalent professional experience

• Five years of experience in suitability/best interest review, investment supervision, or a related compliance function

• FINRA Series 7

• FINRA Series 24

• FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain within 12 months from date of job entry date

• FINRA Series 51 or 53, or obtain within 12 months from job entry date

• Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)

• Excellent analytical, problem-solving, and decision-making skills

• Exceptional written and verbal communication with high attention to detail

• Proven ability to manage multiple priorities in a fast-paced environment

• Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)

Preferred Qualifications

• Experience with business processing, surveillance, and Reg BI platforms such as Docupace, Wealthscape, FIS, and RightBRIDGE

• Knowledge of process improvement methodologies and technology solutions (such as AI) to enhance business performance

Working Conditions

• Remote Environment

The Salary for this position generally ranges between $70,000-$80,000 annually.  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 of 10% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. 

  • 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

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 in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.