Sr Field Services & Operations Principal (Work From Home)

Job title: Sr Field Services & Operations Principal (Work From Home) in USA at Transamerica

Company: Transamerica

Job description: Job Family Regulatory ComplianceAbout UsAt 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 AreWe 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 DoTransamerica 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.* For more information, visit .Job Description Summary As a member of Transamerica Financial Advisors (TFA), conduct processing and principal review of cashiering, trading, and other asset services on the National Financial Services platform including FMAX and Wealthscape. Assist registered representatives and advisors on use of the platform, including trading. Serve as a central source of information and support for TFA reps, who directly service the client, to address business issues and questions to help with their practice.Job DescriptionResponsibilities

• Support the National Financial Services (NFS) platform and functions.


• Conduct and oversee training of registered representatives and advisors on platforms/technologies, processes, compliance, best practices, etc.


• Conduct and oversee fee changes through Wealthscape.


• As a member of the Call Center, respond to registered representative requests for trading, account maintenance, order entry, platform navigation, cashiering functions, opening and closing accounts, etc.


• Administer Wealthscape functions including setup of prototype plans.


• Support the eMoney platform. Ensure adherence to business line processes and controls.


• Support the DocuSign process for integrating disclosures and account maintenance to NFS, track quality reports and identify potential issues.


• Produce reports from Wealthscape to ensure regulatory requirements and AML compliance align with recommendations for individual clients. Review and provide reports required for TFA.


• Partner with Middle Office on account management services.


• Perform regulatory trading reviews and serve as a backup to head of trading function as needed.


• Identify and develop operational impact metrics, including collecting, analyzing, and reporting.


• Keep up to date on rules and regulations governing firm procedures.


• Identify and develop operational service improvements.


• Perform business review functions as needed/requested.

Qualifications

• Bachelor’s degree in finance or business, or equivalent work experience


• Five years of securities/financial services experience


• FINRA Series 7 & 24 (and 63 for states that require)


• FINRA Series 65 or 66 (or obtain within six months of hire)


• Thorough knowledge and experience with NFS.


• Thorough knowledge of securities products, FINRA, SEC, and DOL regulations


• Ability to analyze complex issues and recommend solutions


• Excellent written and oral communication and interpersonal skills


• Attention to detail and ability to prioritize multiple responsibilities


• Proficiency using MS Office, including advanced Excel skills

Working Conditions

• Office or hybrid office/remote environment


• Occasional travel for field office visits

The salary for this position generally ranges between $64,000 - $80,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including 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.Additionally, this position is typically eligible for an Annual Bonus of 10% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.What We OfferFor eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.Compensation BenefitsCompetitive PayBonus for Eligible EmployeesBenefits PackagePension Plan401k MatchEmployee Stock Purchase PlanTuition ReimbursementDisability InsuranceMedical InsuranceDental InsuranceVision InsuranceEmployee DiscountsCareer Training & Development OpportunitiesHealth and Work/Life Balance BenefitsPaid 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 DollarsParental 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 AssistanceEmployee Assistance ProgramCollege Coach ProgramBack-Up Care ProgramPTO for Volunteer HoursEmployee Matching Gifts ProgramEmployee Resource GroupsInclusion and Diversity ProgramsEmployee Recognition ProgramReferral Bonus ProgramsInclusion & DiversityWe 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 BackWe believe our responsibilities extend beyond our corporate walls. That's why we created the 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.Transamerica’s Parent Companyacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 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.

• As of December 31, 2023

Expected salary: $64000 - 80000 per year

Location: USA

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