Compliance Branch Examiner (FINRA licensing required)

Conduct branch office inspections to monitor and assess compliance with Transamerica Financial Advisors, Inc. and World Financial Group, Inc. policies, procedures and industry regulations. Identify potential risks and recommend education and policy requirements for registered representatives and agents. RequirementsFINRA Series 26Bachelor’s degree in business, marketing, finance, or relevant field, or equivalent education and experienceExperience in a compliance or related role working directly with financial professionals (typically two to five years)FINRA Series 24Experience conducting inspections for retail broker-dealers, registered investment advisors, and/or insurance companiesBenefitsCompetitive PayBonus for Eligible EmployeesPension Plan401k MatchEmployee Stock Purchase PlanTuition ReimbursementDisability InsuranceMedical InsuranceDental InsuranceVision InsuranceEmployee DiscountsCareer Training & Development OpportunitiesPaid Time Off starting at 160 hours annually for employees in their first year of serviceTen (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 ProgramsOriginally posted on Himalayas Apply To this Job