Sr Compliance Analyst - WFG Canada

at  Transamerica

Job Family
Regulatory Compliance
About Us
At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.
Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.
Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit
www.transamerica.com
.
Who We Are
Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.
What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).
Job Description Summary
The Senior Compliance Analyst will play a pivotal role in ensuring compliance within our organization, focusing on three key areas: advertising compliance, audit support, and customer complaint investigation. The ideal candidate will have a generalist background in both security and insurance sectors and will utilize their expertise to navigate complex regulations and internal policies. This position requires keen analytical skills, attention to detail, and excellent communication abilities to produce compliance reports and recommendations. The Senior Compliance Analyst will collaborate with various stakeholders to maintain compliance and promote best practices.
Job Description
Responsibilities:

Advertising Compliance:

• Monitor and analyze agent commentary and informal advertisements on public-facing websites, particularly LinkedIn, to ensure adherence to compliance guidelines.
• Review and assess all advertising materials and public-facing information related to the company’s products.
• Utilize surveillance platforms such as Eagle Eye and Red Oak for formal advertising to ensure compliance with regulatory standards.
• Work collaboratively with marketing and legal teams to address any compliance issues related to advertising.

Audit Participation:

• Assist in preparation for compliance audits/inspections by gathering necessary prework documents and conducting thorough reviews prior to the actual audit.
• Request and review electronic files and hard copies of relevant documents to ensure they meet compliance standards.
• Conduct interviews with agents and representatives to gather insights and information for audit purposes.
• Prepare comprehensive final reports summarizing findings, action items, and providing actionable recommendations for improvement.

Customer Complaint Investigation:

• Lead investigations into customer complaints from initiation to resolution, ensuring a thorough and unbiased examination of each case.
• Gather information from all relevant parties, including customers, agents, and other departments to construct a fair analysis.
• Document findings and create detailed reports outlining the investigation process, results, and recommendations for future actions.
• Collaborate with management to address complaints and implement corrective measures as needed.

Qualifications

• Post-Secondary education or equivalent experience.
• Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC).
• Frequent use and general knowledge of industry practices, techniques and standards.
• Ability to coordinate and prioritize multiple projects in a fast paced environment.
• Attention to detail and accuracy.
• Organizational and communication skills.
• Results driven and customer focused.
• Proficient with Microsoft Office Suite and Adobe.

Preferred Qualifications

• Five years of experience in the financial industry.
• Experience in an Advisor facing compliance or related role.

Canadian Health and Work/Life Balance Benefits:

• Competitive Paid Time Off
• Ten (10) paid holidays per year
• Ten (10) sick days per year
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave
• Adoption Assistance
• Employee Assistance Program
• College Coach Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs
• Peer Recognition Program (BRAVO)

United States Only Benefits Below:
This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.
What We Offer
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• College Coach Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs
• Peer Recognition Program (BRAVO)
• As of December 31, 2022

Inclusion & Diversity
We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.
To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.
Giving Back
We believe our responsibilities extend beyond our corporate walls. That’s why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.
https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation
Transamerica’s Parent Company
Aegon
acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

Please refer the Job description for details