Investigations - Int Compliance Analyst

Overview

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

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 of 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.

Who We Are We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do Transamerica is organized into three distinct businesses. These include
1) World Financial Group, including Transamerica Financial Advisors,
2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and
3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.

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Job Description Summary The Intermediate Compliance Analyst is responsible for investigating client complaints, conducting market conduct investigations and supporting regulatory requests in relation to WFG Canada’s life and health insurance managing general agency (World Financial Group Insurance Agency of Canada Inc) and mutual fund dealer (WFG Securities Inc). This role ensures compliance with internal policies and external regulations, prepares reports and communicates findings to stakeholders.

The analyst works within the Team to manage multiple cases, maintain accurate records, and support continuous improvement of compliance processes.

• Intake, assess, and investigate client complaints and regulatory inquiries.
• Conduct investigations concerning agent misconduct – gather and analyze information. Prepare clear, detailed investigation reports and present findings to management or disciplinary committees.
• Monitor case progress to ensure timely completion of cases with a strict adherence to deadlines.
• Liaise with various stakeholders ranging from clients, agents, insurance and mutual fund companies and regulators as required.
• Support the development, maintenance and implementation of compliance policies, procedures and training.
• Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.
• May conduct in-person interviews or site visits as needed (up to 10% travel).
• Stay current with regulatory changes and compliance best…