Chief Compliance Officer - WFGIAC & RO Quebec (Senior Director)

Job Description

Responsibilities

• Establish, maintain, and update compliance policies and procedures covering the activities, supervision and oversight of WFGIA’s branch offices and its agents.
• Conduct monitoring of compliance risks, promptly reporting deficiencies presenting a significant risk to WFGIA.
• Provide advice and guidance to senior leadership on compliance, regulatory risks, conflicts of interest and reputational risk.
• Provide quarterly reporting to the Head of WFG Compliance and escalate significant issues to the Head of WFG Compliance as well as senior management in a timely manner.
• Track and respond to regulatory developments and industry trends to ensure the program remains current and effective.
• Create and modify policies and procedures as needed, keeping up to date with technology enhancements and surveillance techniques.
• Oversee the assessment of control deficiencies and remediation plans and ensure appropriate resources are available to handle regulatory examinations.
• Prepare and deliver a report to the board of directors of WFGIA on the state of the compliance program.
• Provide back-up to the CCO of WFG Securities.
• Manage a team of compliance professionals and provide leadership and direction to the team toward operational excellence and accountability.

Ensure, staff have the training and tools required to perform job duties. Hire, lead, train, develop, coach, and reward team members.

Qualifications

• Bachelor’s degree in a business field
• Ten years of experience in insurance compliance, including senior level management responsibilities.
• Comprehensive understanding of Canadian insurance regulatory requirements and experience dealing with regulators (AMF, FSRA, etc.).
• Outstanding written and oral communication and relationship building skills to work with regulators, the business, and field leaders.
• Life, Accident and Sickness / Personal Insurance Licenses in all Provinces.

Preferred Qualifications

French speaking

Working Conditions

• Office or hybrid office / remote environment
• Moderate travel

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

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.