Compliance/tier1 Supervision-(regional Branch Manager)- Wfg Canada

Transamerica Corporation

Toronto, ON, CA
Base: $70,000 - $80,000 annually; bonus/equity: no...
Hybrid
Ciro registered dealer experience
Conducting non-financial audits
Knowledge of securities industry practices
The role involves performing branch supervisory functions in accordance with regulatory and company requirements while supporting Approved Persons

Job Summary

  • The role involves performing branch supervisory functions in accordance with regulatory and company requirements while supporting Approved Persons.
  • Transamerica is an international holding company part of Aegon that employs nearly 7,000 people serving millions of customers worldwide.
  • Employees receive competitive benefits including a pension plan, 401k match, and up to 160 hours of paid time off annually.

Matching Summary

The role involves performing branch supervisory functions in accordance with regulatory and company requirements while supporting Approved Persons.

Salary

Base: $70,000 - $80,000 annually; Bonus/Equity: Not specified; Benefits: Pension Plan, 401k Match, Medical/Dental/Vision Insurance

Skills & Requirements

Must-have

  • CIRO registered dealer experience
  • Conducting non-financial audits
  • Knowledge of securities industry practices

Nice-to-have

  • Ability to prioritize multiple projects
  • Strong organizational skills and attention to detail
  • Customer focused results driven approach

Key Requirements

  • Two years of compliance experience with CIRO registered dealer
  • Completion of Investment Funds in Canada or Canadian Securities Course within 30 days
  • Completion of Branch Manager's Course within 30 days
  • Completion of Life License Qualification Program within 12 months
  • Possession of Life Insurance License within 12 months

Work Rights

Not specified

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