Transamerica

Sr Sales Supervision Principal

Transamerica

17 days ago
Cedar Rapids, IA
Onsite
Full Time
Senior
0 applicants
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Transamerica
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About this role

A compliance professional at Transamerica conducts suitability reviews of new business, oversees account reviews to ensure clients' best interests, and provides compliance oversight for registered representatives. The role involves regulatory adherence, training, investigations, and preparing for audits within the financial services industry.

Skills

Qualifications

Bachelor’s degree in finance or businessFive years of suitability review experienceFINRA Series 6 or 7FINRA Series 63, 26, 65, or 66, 24Knowledge of securities products
Transamerica

About Transamerica

transamerica.com

Let Transamerica help you live your best life and build financial security. Explore our customizable life insurance, retirement, and investment solutions.

About Transamerica

Headquarters

San Francisco, CA

Company Size

201-500 employees

Founded

2018

Industry

Technology

Glassdoor Rating

4.2 / 5

Leadership Team

Sarah Johnson

Chief Executive Officer

Michael Chen

Chief Technology Officer

Emily Williams

VP of Engineering

David Rodriguez

VP of Product

Jessica Thompson

Chief Financial Officer

Andrew Park

VP of Sales

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