Field Auditor Wfg

Job Family

Regulatory Compliance
- About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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.

Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit- .

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

Reporting to the Compliance Manager, the Compliance Officer (Field Auditor) will conduct field office examinations in an effort to monitor and assess adherence to World Financial Group Canada Inc. policies and procedures and industry regulation. The Compliance Officer (Field Auditor) will use the information obtained during the course of field office examinations to assess potential risk and determine future education and policy requirements.

**Job Description**:
**Responsibilities**:

- Prepare for onsite audit in accordance with Audit Program utilizing current systems and Head Office resources.
- Conduct daily onsite audits of field/branch offices which include file/systems review along with Advisor Interviews.
- Prepare Branch Audit Reports.
- Ensure Closure of Branch Audit.
- Conduct compliance training at branch locations.
- Schedule Audit calendar and report findings to Senior Management.
- Consistently assess/enhance the Audit Program.
- Assist with and respond to Agent and Client Inquiries.
- Work on Special Projects as required.

**Qualifications**:

- Successful completion of The Investment Funds of Canada Course (IFIC) or The Canadian Securities Course (CSC).
- Successful completion of the Branch Manager’s Examination Course (BM) or The Branch Manager’s Course (BMC) or willing to complete the course within two months.
- One year of experience in Advisor facing compliance or related role.
- Frequent use and general knowledge of industry practices, techniques and standards.
- Ability to travel daily and for extended periods (50% travel within the area & throughout Canada).
- Ability to coordinate and prioritize multiple projects in a fast paced environment
- Attention to detail and accuracy with excellent organizational and communication skills.
- Results driven and customer focused.
- Proficient with Microsoft Office Suite.

Preferred Qualifications
- Post-Secondary education.
- Two years of experience in the financial industry.
- Life License Qualification Program (LLQP)
- Experience in conducting non-financial audits for firms registered in the securities industry.
- Bilingual in French.

Working Conditions

Remote/Hybrid environment.

Extensive travel.
- This job description is not a contract of employment nor for any specific job _responsibilities._ Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request._

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- Competitive Pay-
- Bonus for Eligible EmployeesBenefits Package- Pension Plan-
- 401k Match-
- Employee Stock Purchase Plan-
- Tuiti