Sales Supervision Principal
Transamerica(1 month ago)
About this role
A Regulatory Compliance professional within Transamerica’s Regulatory Compliance job family focused on supporting the firm’s adherence to securities, insurance, and advisory regulations. The role works across business lines to support suitability and oversight activities for registered representatives and contribute to the organization’s risk and compliance framework.
Required Skills
- Suitability Review
- Compliance Oversight
- Regulatory Reporting
- Supervision
- Investment Review
- Call Monitoring
- Email Review
- Licensing Support
- MS Office
- Analytical Skills
+2 more
Qualifications
- Bachelor's Degree in Finance or Business
- FINRA Series 6
- FINRA Series 7
- FINRA Series 63
- FINRA Series 26
- FINRA Series 65
- FINRA Series 66
- FINRA Series 24
About Transamerica
transamerica.comLet Transamerica help you live your best life and build financial security. Explore our customizable life insurance, retirement, and investment solutions.
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