Team Lead, Regional Manager - Branch Supervision

Regulatory Compliance Supervisor

Provide supervision over the securities activities of Branch Office Supervisors and Registered Representatives in an assigned region. Support and monitor the activities of a team of Regional Branch Managers.

Responsibilities :

• Monitor and provide oversight of assigned Regional Branch Managers; provide direction and training as needed.
• Oversee, review and ensure Regional Branch Managers duties are completed as required and in a timely manner.
• Act in the capacity of Regional Branch Manager for an assigned region.
• Provide direct supervision of Branch Office Supervisors and Registered Representatives for broker dealer and investment advisory functions; provide supervision, guidance, advice, and training.
• Maintain files required by the WSPs to be maintained at the branch location for each Branch Office Supervisor and Registered Representatives.
• Assist in the creation of new branch offices and the development of existing offices.
• Participate in regulatory examinations within the assigned region.
• Review and accept or deny requests for non-registered locations.
• Monitor the activities of Branch Office Supervisors, Registered Representatives and NRLs within the region in accordance with the Firm's written supervisory procedures.
• Monitor the performance of Branch Office Supervisors to ensure they are able to properly supervise the number of Registered Representatives assigned to them.
• Designate, reviews and remove Branch Office Supervisor status as needed.
• Makes decisions for acceptance or denial of new applicants and, when necessary, for the suspension or termination of Branch Office Supervisors and Registered Representatives.
• Visit branch offices periodically to review and monitor for adherence to company policies and procedures.
• Review annual audit report and implement procedural changes to ensure that identified deficiencies are not repeated.
• Reviews written correspondence and communications with the public in accordance with company policies as needed.
• Review and approve, or deny, outside business activities and private securities transactions requested by Branch Office Supervisors and Registered Representatives.
• Perform final review and acceptance of Form U4s for applicants, including interviews with the sponsoring Branch Office Supervisor and / or applicant, and / or requests for additional supporting documentation. Approve / recommend Heightened Supervisory Agreement (HSA), or refer to Special Review Committee.
• Implement, monitor, and dissolve HSAs within the region.
• Review and accept, or deny, requests from Branch Office Supervisors for assignments or reassignments of Registered Representatives.
• Monitor Registered Representatives compliance with Firm and regulatory continuing education requirements.
• Review and monitor Branch Office Supervisor and Field Representative completion and compliance with the Firm's annual compliance meeting and Firm element requirements
• Review and monitor Branch Office Supervisor and Field Representative emails to ensure compliance with Firm policies.
• Handle calls and inquires during regions office hours to ensure inquiries are resolved satisfactorily, including incoming calls on the RBM call line.
• Refer to and provide input to the Compliance Division on regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and / or regulatory requirements as needed.
• Periodically attend public events conducted by TFA Field Representatives to ensure compliance with Firm policies.
• Create, facilitate and promote Firm training programs as deemed necessary by management.
• Perform additional supervisory and compliance functions as needed.

Qualifications :

Preferred Qualifications :

The salary for this position generally ranges between $82,000-$102,000 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 based on the Company Bonus Plan / Individual Performance and is at the Company's discretion.

What We Offer :

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits :

Benefits Package :

Health and Work / Life Balance Benefits :

Inclusion & Diversity :

We 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 Back :

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation 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 Company :

Aegon acquired 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.