Join Transamerica as a Compliance Supervisor, overseeing regulatory practices from Toronto while taking part in a hybrid work model. Utilize your expertise in life insurance and mutual funds to support Approved Persons effectively.
In this position, you will leverage at least two years of compliance guidance experience. You’re responsible for conducting essential KYC reviews and tier-1 post-trade reviews. Interaction with clients for seamless transactions will be a crucial aspect, alongside your role as an informational resource for Approved Persons. Effective prioritization, attention to detail, and communication skills are essential in this role.
Key Responsibilities:
• Oversee KYC reviews for mutual fund and insurance sales
• Provide transaction facilitation in absence of Approved Persons
• Execute thorough post-trade reviews of transactions
• Guide Approved Persons on compliance aspects
• Monitor adherence to WFGS policies and procedures
Requirements:
• A...