Sales Supervision Principal

Overview

At Transamerica, hard work, innovative thinking, and personal accountability are valued. We embrace a diverse workforce and aim to balance careers with family, community, and personal interests.

Regulatory Compliance

Transamerica is organized into three distinct businesses:
1) World Financial Group (including Transamerica Financial Advisors),
2) Protection Solutions and Savings & Investments (life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions), and
3) Financial Assets (legacy blocks of long term care, universal life, and variable and fixed annuities). These are supported by Transamerica Corporate, including Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs (Communications, Brand, Government and Policy Affairs).

Transamerica employs nearly 7,000 people. It is part of Aegon, serving millions of customers worldwide. For more information, visit

Conduct suitability review of new business and provide compliance oversight of registered representatives.

• Conduct and oversee account reviews for client’s best interest.
• Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.
• Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.
• Review calls and call reports for quality and adherence to business guidelines.
• Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
• Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.
• Assist with the regulatory requirement of advisory annual reviews.
• Assist with licensing and registration.
• Email and correspondence review.
• Perform special supervisory reviews as assigned.

• Bachelor’s degree in finance or business-related field, or equivalent work experience.
• Two years of suitability or best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7
• FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Strong written and verbal communication skills.
• Analytical and decision-making skills.
• Attention to detail.
• Proficiency using MS Office (Word, Excel).

• Office environment

The salary for this position generally ranges between $55,000 - $67,000 annually. The salary range is a good faith estimate and actual starting pay is determined by qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. This position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

For eligible employees, we offer a comprehensive benefits package designed to support both personal and financial well-being.

• Competitive Pay
• Bonus for Eligible Employees

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

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten paid holidays per year (typically mirroring NYSE holidays).
• Be Well Company holistic wellness program, including Wellness Coaching and Reward Dollars.
• Parental Leave – fifteen days of paid parental leave per calendar year to eligible employees with at least one year of service.
• Adoption Assistance
• Employee Assistance 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

We are committed to diversity and inclusion and have been recognized by multiple organizations for our efforts. ERGs are open to all employees and support a culture that values similarities and differences.

We created the Aegon Transamerica Foundation to support nonprofit organizations through grants and employee volunteer efforts.

Aegon acquired Transamerica in 1999. Aegon serves more than 23.9 million people globally and focuses on investment, protection, and retirement solutions with a commitment to environmental and inclusion initiatives.

As of December 31, 2023, information is provided for context.