Compliance Branch Examiner (FINRA licensing required)

Conduct branch office inspections to monitor and assess compliance with Transamerica Financial Advisors, Inc. and World Financial Group, Inc. policies, procedures and industry regulations. Identify potential risks and recommend education and policy requirements for registered representatives and agents.

Requirements

• FINRA Series 26
• Bachelor’s degree in business, marketing, finance, or relevant field, or equivalent education and experience
• Experience in a compliance or related role working directly with financial professionals (typically two to five years)
• FINRA Series 24
• Experience conducting inspections for retail broker-dealers, registered investment advisors, and/or insurance companies

Benefits

• 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 (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

Originally posted on Himalayas