Remote Broker Dealer Operations Jobs in Colorado

Job Family

Regulatory Compliance

Job Description Summary

Conduct suitability review of new business and provide compliance oversight of registered representatives.

Job Description

Responsibilities

• Conduct and oversee account reviews for client's best interest.
• Preapprove complex products prior to distribution to clients.
• Provide compliance training and guidance.
• Ensure adherence to business line processes and controls.
• Track and assist with investment issues and complaints.
• Track quality reports and identifying potential issues.
• Manage OSJ files for RIA, broker/dealer and insurance agency.
• Certify the regulatory requirement for the RIA are being completed.
• Assist with licensing and registration issues.
• Investigate regulatory violations, sales practice improprieties, or other policy violations.
• Assist with the preparation for regulatory audits.
• Perform Principal guidance and training, and provide supervisory feedback.

Qualifications

• Bachelor's degree in finance or business-related field, or equivalent work experience.
• Five years of suitability/best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7, 63, 26, and 24
• FINRA Series 65 or 66, or obtained within 6 months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Ability to analyze complex issues and recommend solutions.
• Strong written and verbal communication skills.
• Attention to detail.
• Proficiency in MS Office (Word, Excel).

Preferred Qualifications

Working Conditions

• Office Environment

Compensation

The salary for this position generally ranges between$70,000 - $85,000 annually.Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors includingqualifications, 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.

Disclaimer:
Beware of fake job offers!

We've been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note:

• We will never request personal information such as ID or payment for equipment upfront.

• Official offers are sent via DocuSign following a verbal offer-not through text or email.

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

• 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

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.* 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.

* As of December 31, 2023