Job Description
Responsibilities
Lead the operations organization for TFA including processing and servicing for TFA accounts opened and maintained by TFA financial professionals.
Oversee the technology and infrastructure needed to maintain the firm’s systems and data and initiate and sponsor programs to improve TFA service delivery performance.
- Lead, execute, and manage multiple initiatives which may include system conversions / implementations, new business expansions, restructuring systems and processes.
- Lead multiple operational and technology teams to strengthen service and support of financial professionals and brokerage and advisory platform adoption.
- Drive continuous improvement in quality and efficiency for the distinct client and advisor experiences. Develop, implement and communicate core operations and service metrics.
- Seek opportunities and solicit feedback from financial professionals and employees to identify inefficiencies and process improvement opportunities and work with management to implement.
- Manage and streamline processes to ensure operational excellence and compliance with applicable laws and regulations (SEC, FINRA, DOL), market competitiveness, and effective governance across the enterprise.
- Develop and design policies and procedures consistent with organizational strategies and industry best practices.
- Serve as key leadership representative for TFA and its field representatives.
- Oversee team projects to ensure alignment and coordination of resources.
Qualifications
- Bachelor’s degree in business, technology, finance, operations management, or equivalent experience
- 15 years of experience in broker / dealer operations and administration
- FINRA Series 7
- FINRA Series 24
- Advanced knowledge and expertise in broker / dealer technology, clearing firms, and commission systems
- Strong communication and analytical skills
- Demonstrated success leading multi-discipline teams to deliver on organizational goals
Preferred Qualifications
- MBA, ChFC, CFP or other professional investment or insurance designation
- FINRA Series 65 or 66
- Familiarity with broker-dealer OSJ and registered branch structures
- Regulatory and supervision experience
- Experience with National Financial Services
- Experience with process management disciplines such as Lean Six Sigma
Working Conditions
- Office or hybrid office / remote environment
- Moderate travel (up to 25%)
Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws.
It is estimated based on what a successful candidate might be paid in certain Company locations.
The Salary for this position generally ranges between $185,000-$195,000 annually. This range is an estimate, based on potential qualifications 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
Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work / Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (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 Dollars
Parental 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 Assistance
Employee Assistance Program
College Coach Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs
Peer Recognition Program (BRAVO)
As of December 31, 2022
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 throughthe Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including theInclusion 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.Theyprovide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.
Giving Back
Webelieve our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994.
Through a mixof 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
Aegonacquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.
5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose : Helping people live their best lives.
As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.
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