Job Family

Regulatory Compliance

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit

transamerica.com

.

Job Description Summary

Résumé du poste
Diriger une équipe de professionnels de la conformité chargée de gérer les programmes de conformité en matière d’assurance au Québec pour World Financial Group Insurance Agency of Canada Inc. (WFGIAC), ainsi que le programme de confidentialité pour WFG Canada (WFGIAC et WFG Securities Inc.). Veiller au respect de toutes les exigences réglementaires applicables au Québec et de la Loi sur la protection des renseignements personnels et les documents électroniques (LPRPDE) fédérale. Posséder une solide expérience en gestion de la conformité réglementaire, en tests de conformité, en formation et en gestion du personnel, en mettant l’accent sur l'excellence opérationnelle dans un environnement dynamique.

Job Summary: Lead a team of compliance professionals to manage Québec insurance compliance programs for World Financial Group Insurance Agency of Canada Inc. (WFGIAC), and the Privacy program for WFG Canada (WFGIAC and WFG Securities Inc.). Ensure compliance with all applicable Québec regulatory requirements and the federal Personal Information Protection and Electronic Documents Act (PIPEDA). Possess a strong background in regulatory compliance management, compliance testing, training, and people management, with a focus on operational excellence in a dynamic environment.

Job Description

Responsabilités

• Diriger l'équipe de conformité du Québec dans la supervision de la conformité réglementaire des activités d'assurance de WFGIAC.
• Gérer et améliorer le programme de confidentialité pour WFG Canada, en veillant au respect de la LPRPDE et des lois provinciales applicables en matière de confidentialité.
• Soutenir le responsable québécois, le chef de la conformité de WFGIAC et le chef de la conformité de WFGS dans leurs relations avec les organismes de réglementation québécois, notamment l'Autorité des marchés financiers (AMF), ainsi qu'avec les organismes de la confidentialité à travers le Canada.
• Superviser, encadrer et développer une équipe de professionnels de la conformité, en favorisant une culture de haute performance et de collaboration.
• Superviser les activités de surveillance, de vérification et de matière de conformité propres aux opérations du Québec. Ces activités comprennent, mais ne sont pas limitées à, l'évaluation des dossiers des clients, l'évaluation des activités externes, la vérification des succursales d'assurance et la vérification des contrôles internes.
• Développer et dispenser des programmes de formation en matière de conformité en français et en anglais pour les représentants en assurance et du personnel interne. Les programmes de formation sur la confidentialité s'adresseront à l'ensemble du Canada.
• Fournir des conseils et un soutien aux représentants sur le terrain en matière de réglementation et de confidentialité.
• Promouvoir les améliorations du programme de conformité du Québec en tirant parti de l'analyse des données et de l'optimisation des processus.
• Surveiller l'évolution de la réglementation au Québec et les changements réglementaires en matière de confidentialité à travers le Canada, en évaluant leur incidence et en mettant en œuvre les changements nécessaires.
• Collaborer avec les services juridiques, les services chargés de la gestion des risques, les services opérationnels et d'autres parties prenantes internes afin d'assurer la cohérence et l'atténuation efficace des risques.
• Préparer des rapports et des mises à jour à l'intention de la haute direction et des organismes de réglementation, selon les besoins.
• Participer à des projets ponctuels, selon les besoins.

Qualifications

• Formation postsecondaire en commerce ou en finance, ou expérience équivalente dans le secteur des services financiers
• Huit ans d'expérience en conformité, confidentialité ou en affaires réglementaires dans le secteur des services financiers ou des assurances
• Solide connaissance des cadres réglementaires québécois (par exemple, AMF) et de la législation canadienne sur la confidentialité (LPRPDE, Loi 25 du Québec)
• Expérience en leadership et en gestion d'équipe
• Excellentes aptitudes à la communication en français et en anglais (écrites et parlées)
• À l'aise dans les relations avec les représentants agréés en assurance et en fonds communs de placement et les responsables sur le terrain, et capable d'exercer une influence positive sur eux
• Compétences analytiques, organisationnelles et interpersonnelles solides
• Bilingue - Maîtrise (orale et écrite) du français et de l'anglais pour accomplir les tâches requises et communiquer quotidiennement/fréquemment avec un réseau diversifiée d'agents et d'employés, ainsi qu'avec l'équipe de direction de WFGIA, située en Ontario et aux États-Unis

Qualifications préférées

• Expérience dans un rôle de conseiller en matière de conformité ou dans un poste similaire
• HLLQP/Licence d’assurance de personnes

Conditions de travail

• Environnement de bureau ou hybride bureau/télétravail
• Déplacements modérés (jusqu'à 25%)

Cette description de poste ne constitue pas un contrat de travail ni une liste exhaustive des responsabilités liées à ce poste. Les gestionnaires peuvent attribuer d'autres tâches et responsabilités selon les besoins. Si un employé ou un candidat demande ou nécessite un aménagement pour exercer ses fonctions, il convient de contacter le partenaire RH concerné afin d'évaluer la demande d'aménagement.

Responsibilities

• Lead the Québec compliance team in overseeing regulatory compliance for WFGIAC’s insurance operations.
• Manage and enhance the Privacy Program for WFG Canada, ensuring compliance with PIPEDA and applicable provincial privacy laws.
• Support the Québec Responsible Officer, WFGIAC Chief Compliance Officer, and WFGS Chief Compliance Officer in liaising with Quebec regulators, including the Autorité des marchés financiers (AMF), as well as applicable privacy regulators across Canada.
• Supervise, coach, and develop a team of compliance professionals, fostering a high-performance and collaborative culture.
• Oversee compliance monitoring, testing, and reporting activities specific to Québec operations. The activities include, but are not limited to, client file assessment, outside activity assessment, insurance branch audit, and internal control testing.
• Develop and deliver compliance training programs in French and English for insurance representatives and internal staff. Privacy training programs will be for all of Canada.
• Provide guidance and support to field representatives on regulatory and privacy matters.
• Champion Québec compliance program improvements by leveraging data analytics and process optimization.
• Monitor regulatory developments in Québec, and privacy regulatory changes across Canada, assessing their impact and implementing necessary changes.
• Collaborate with Legal, Risk, Operations, and other internal stakeholders to ensure alignment and effective risk mitigation.
• Prepare reports and updates for senior leadership and regulatory bodies as required.
• Participate in ad-hoc projects as required.

Qualifications

• Post-secondary education in business or finance, or equivalent experience in the financial services industry
• Eight years of experience in compliance, privacy, or regulatory affairs within the financial services or insurance industry
• Strong knowledge of Québec regulatory frameworks (e.g., AMF) and Canadian privacy legislation (PIPEDA, QC Law 25)
• Leadership and team management experience
• Excellent communication skills in both French and English (written and verbal)
• Comfortable interacting with and positively influencing licensed insurance and mutual fund representatives and field leaders
• Strong analytical, organizational, and interpersonal skills
• Bilingual - Fluent (oral and written) in French and English to complete required job duties and communicate daily/frequently with a diverse agent and employee base, as well as the WFGIA management team, located in in Ontario and throughout the United States.

Preferred Qualifications

• Experience in an advisor facing compliance or related role
• HLLQP/Insurance of Persons license

Working Conditions

• Office or hybrid office/remote environment
• Moderate travel (up to 25%)

This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.

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

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