Sr Field Services & Operations Associate

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.

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Who We Are

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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 servingapproximately 23.9 million customersworldwide.* For more information, visit transamerica.com.?

Job Description Summary

As a member of Transamerica Financial Advisors (TFA), conduct processing of cashiering, trading, asset transfers, and other operations functions on the Fidelity National Financial Services platform for brokerage and advisory accounts. Assist financial professionals and staff on use of the Wealthscape platform. Serve as a central source of information and support for TFA financial professionals who directly service the client and address business issues and questions to help with their practice.

Job Description

Responsibilities

• Support business processing on the Fidelity National Financial Services (NFS) Wealthscape platform
• Provide guidance and training to financial professionals on platforms/technologies, processes, compliance, best practices, etc.
• As a member of the Call Center, respond to requests for trading, account maintenance, order entry, platform navigation, cashiering functions, opening and closing accounts, etc.
• Provide support and guidance for the Wealthscape platforms.
• Produce reports from Wealthscape and Avaya required for TFA to oversee service and processing metrics, and identify areas for optimization.
• Partner with NFS Middle Office on account management services.
• Identify and develop operational impact metrics, including collecting, analyzing, and reporting.
• Keep up to date on rules and regulations governing firm procedures.
• Identify and develop operational service improvements.

Qualifications

• Bachelor’s degree in finance or business, or equivalent work experience
• Five years of securities/financial services experience in call center and operations roles
• Detailed knowledge and expert processing proficiency on the NFS Wealthscape platform
• Demonstrated experience utilizing Avaya or similar telephony management system
• Thorough knowledge of securities products, FINRA, SEC, and DOL regulations
• Ability to analyze complex issues and recommend solutions
• Excellent written and oral communication and interpersonal skills
• Attention to detail and ability to prioritize multiple responsibilities
• Proficiency using MS Office, including advanced Excel skills

Preferred Qualifications

• Experience with Wealthscape and Envestnet platforms.
• Series 7 and 24 preferred

Working Conditions

• Remote Environment
• Occasional Travel