Transamerica Compliance Officer Position
Transamerica Corporation • toronto, Canada
Role Description
Join Transamerica as a Compliance Officer responsible for supervising Approved Persons and ensuring compliance with regulatory standards. Drive efficiency in financial transactions and branch oversight.
This vital role requires a skilled professional with at least two years of experience in compliance at a CIRO registered dealer. You will oversee KYC reviews and interact directly with clients to facilitate transactions, ensuring that APs are supported in their compliance duties. Mastering WFGS policies is essential for guiding APs effectively and upholding the highest standards in supervision.
Key Responsibilities:
• Oversee pre-trade KYC reviews
• Assist clients with transactions when APs are unavailable
• Conduct post-trade trade reviews regularly
• Provide support as an information resource for APs
• Monitor and report on outside business activities
Requirements:
• Minimum two years of compliance or audit experience
• Understanding of relevant industry ...
This vital role requires a skilled professional with at least two years of experience in compliance at a CIRO registered dealer. You will oversee KYC reviews and interact directly with clients to facilitate transactions, ensuring that APs are supported in their compliance duties. Mastering WFGS policies is essential for guiding APs effectively and upholding the highest standards in supervision.
Key Responsibilities:
• Oversee pre-trade KYC reviews
• Assist clients with transactions when APs are unavailable
• Conduct post-trade trade reviews regularly
• Provide support as an information resource for APs
• Monitor and report on outside business activities
Requirements:
• Minimum two years of compliance or audit experience
• Understanding of relevant industry ...