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.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.* Pre-trade Know Your Client (KYC) review.* Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.* Tier-1 Trade Reviews - Post-trade reviews of transactions.* Provide support and act as an information resource for APs.* Learn and understand WFGS policies and procedures.* Provide support to APs and direct other resources as appropriate.* Review and report as required by any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.* Visit branch locations responsible for supervising as required.* Two years of compliance experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry* Experience conducting non-financial audits for firms registered in the securities industry* Knowledge of relevant industry practices, techniques and standards, concepts and principles* Completion of the Investment Funds in Canada or the Canadian Securities Course, (or obtain within 30 days of hire)* Completion of the Branch Manager’s Course, (or obtain within 30 days of hire)* Completion of Life License Qualification Program (or obtain within 12 months of hire)* Life Insurance License (or obtain within 12 months of hire)* Ability to obtain Mutual Fund license as needed* Ability to prioritize multiple projects in a fast-paced environment* Organizational skills and attention to detail* Communication and interpersonal skills* Results driven and customer focused* Pension Plan* 401k Match* Employee Stock Purchase Plan* Tuition Reimbursement* Disability Insurance* Medical Insurance* Dental Insurance* Vision Insurance* Employee Discounts* Career Training & Development Opportunities #J-18808-Ljbffr