Transamerica

Sr Field Services & Operations Principal

Transamerica

full-time

Posted on:

Origin:  • 🇺🇸 United States

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Salary

💰 $64,000 - $80,000 per year

Job Level

Senior

Tech Stack

NFS

About the role

  • Support the National Financial Services (NFS) platform and functions.
  • Conduct and oversee deposit functions as a firm principal.
  • Conduct and oversee training of registered representatives and advisors on platforms/technologies, processes, compliance, best practices, etc.
  • Conduct and oversee fee changes through Wealthscape.
  • As a member of the Call Center, respond to registered representative requests for trading, account maintenance, order entry, platform navigation, cashiering functions, opening and closing accounts, etc.
  • Administer Wealthscape functions including setup of prototype plans.
  • Ensure adherence to business line processes and controls.
  • Support the DocuSign process for integrating disclosures and account maintenance to NFS, track quality reports and identify potential issues.
  • Produce reports from Wealthscape to ensure regulatory requirements and AML compliance align with recommendations for individual clients.
  • Review and provide reports required for TFA to oversee surveillance and processing.
  • Partner with Middle Office on account management services.
  • Perform regulatory trading reviews and serve as a backup to head of trading function as needed.
  • Identify and develop operational impact metrics, including collecting, analyzing, and reporting.
  • Keep up to date on rules and regulations governing firm procedures.
  • Identify and develop operational service improvements.
  • Perform business review functions as needed/requested.

Requirements

  • Bachelor’s degree in finance or business, or equivalent work experience
  • Five years of securities/financial services experience
  • FINRA Series 7 & 24 (and 63 for states that require)
  • Thorough knowledge and experience with NFS
  • Thorough knowledge of securities products, FINRA, SEC, and DOL regulations
  • Ability to analyze complex issues and recommend solutions
  • Excellent written and oral communication and interpersonal skills
  • Attention to detail and ability to prioritize multiple responsibilities
  • Proficiency using MS Office, including advanced Excel skills
  • Preferred Qualifications FINRA Series 65 or 66