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.

Job Family

Regulatory Compliance

About Us

At Transamerica, hard work, creative 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.* For more information, visit transamerica.com.

Job Description Summary

Perform branch supervisory functions in accordance with regulatory and company requirements. Travel to branch locations, conduct regulatory supervision and facilitate training to ensure Approved Persons (APs) are adhering to regulatory and company requirements.

Responsibilities

- Travel to branch locations and conduct supervisory reviews.



Provide timely report and updates to key stakeholders.
- Collaborate with Regional Branch Managers to identify training opportunities. Deliver agreed upon training to branch location APs.
- Supervision of AP sales transactions.
- Interact with clients (in a licensed capacity) to facilitate transactions when AP is unavailable.
- Provide supervision support and act as an information resource for APs and RBMs.
- Provide advanced level application of knowledge regarding WFG Securities Inc. policies and procedures and regulatory guidance to ensure compliance.
- Enhanced supervision of APs who may be subject to regulatory or internal supervision.
- Participate in special projects as assigned. Engage in department projects as required and provide support to other areas within WFG.

Qualifications

- Five years experience in the insurance/financial services industry
- Two years of compliance and/or supervision experience with a CIRO (Formally known as MFDA/IIROC) registered dealer or related experience in the financial services industry
- In-depth experience conducting supervision reviews and/or audits for firms registered in the financial industry. Sound judgement and decision-making skills to manage complex situations/topics in a professional manner.
- Ability to travel daily and for extended periods to branch locations throughout Canada
- Strong knowledge of relevant industry practices, techniques and standards, concepts and principles
- Ability to prioritize multiple tasks in a fast-paced workplace
- Effective organizational skills and sharp attention to detail
- Outstanding written and verbal communication skills
- Strong relationship management

📌 Sr Regional Branch Manager (Toronto)
🏢 Transamerica
📍 Toronto