Business Transitions Case Manager
FINRA
Senior Principal, Sales Supervision
Transamerica
full-time
Posted on:
Origin: • 🇺🇸 United States • Colorado, Iowa
Visit company websiteSalary
💰 $70,000 - $78,000 per year
Job Level
Senior
About the role
- Conduct suitability review of new business for Transamerica Financial Advisors (TFA) financial professionals.
- Conduct principal review and approval for suitability and client’s best interest on variety of business types
- 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 business submission process 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 business review
- Perform guidance and training and provide supervisory feedback on various technology tools used as part of business submission process
- Strengthen and maintain relationships with financial professionals and support staff
- 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
- Provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners as it relates to business review
Requirements
- 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 and 24 licenses
- FINRA Series 65 or 66 and 51 or 53, or ability to obtain within one year
- 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)
