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Job Description
- Req#: R20050397
- Work with Compliance, Operations, Technology and external vendors to resolve issues related to RIA business processes.
- Assist the RIA with operational issues.
- Answer incoming inquiries and places outgoing calls to Investment Advisor Representatives, outside vendors, and other home office personnel.
- Coordinate billing and resolves escalated billing issues.
- Perform data entry on the firm’s Caesar back office system.
- Handle ad hoc projects related to the RIA.
- Create and coordinate internal and external marketing initiatives including printed marketing material, presentations, videos, etc.
- Coordinate and conduct external and internal training via webinars.
- Train new/existing associates on advisory and brokerage related issues.
- Assist team in maintaining the department Operations manual.
- Keep informed of FINRA/SEC regulations and industry practices regarding document requirements and account registrations.
- Associate’s degree in a business field or equivalent experience
- FINRA Series 6, 63 and 65 or Series 6 and 66. (or obtain within six months)
- Three years of RIA and/or broker/dealer experience
- Excellent written/oral communication, interpersonal and customer service skills
- Excellent organizational and prioritization skills to manage work load/process large volumes
- Accurate data entry skills and strong attention to detail
- The ability to work under pressure of deadlines
- Proficiency in MS Office (Outlook, Excel, Word, PowerPoint)
- Understanding of broker/dealer back office and imaging systems
- Familiarity with insurance, mutual funds, equity and related products
- Remote work
- Overtime required during peak periods
- Occasional travel
Competitive Pay
Bonus for Eligible Em ployees
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
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 s ervice 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)
Job Family
Asset Management OperationsWho We Are
Transamerica has been helping people feel better about the future for more than 100 years. We provide investment, retirement, and life insurance solutions to more than 11 million customers throughout the U.S. But the way we see it, our responsibility goes beyond our clients’ accounts. We’re in the business of helping people live well and empowering them to create a better tomorrow through the financial and health-related habits they form today. We help people prepare by providing solutions that consider the whole picture.
What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, Employee Benefits, and Financial Assets), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People, Places & Brand; Risk; and Technology).
Job Description Summary
The RIA Operations Analyst supports Transamerica Financial Advisors, Inc. (TFA) Registered Investment Advisor (RIA) in all facets of business, including but not limited to operations, marketing, and field relations. Interacts closely with TFA’s compliance, operations, and technology teams to develop, refine and maintain platforms and brand for the Wealth Management department. Works with technical, operational and marketing aspects of RIA programs. Supports the creation and development of internal and external marketing materials.Job Description
Responsibilities
Qualifications
Preferred Qualifications
Working Conditions
Compensation
**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**
The Salary for this position generally ranges between $45K-54K. This range is an estimate, based on potential qualifications 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 Company discretion.
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
Benefits Package
Health and Work/Life Balance Benefits
Inclusion & Diversity
Transamerica has made a strong commitment to inclusion and diversity, and we are proud to be an organization where all perspectives are valued. Transamerica has earned recognition for its strong efforts year-over-year, including from the Human Rights Campaign’s Foundation Corporate Equality Index, the Diversity Best Practices Inclusion Index, and Seramount’s “100 Best Companies” list.
In addition, as part of Transamerica’s commitment to maintaining an inclusive workplace, the company sponsors 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 and provide a supportive environment for raising diversity awareness and promoting inclusive behavior.
Giving Back
Transamerica believes our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a combination of financial grants and the volunteer commitment of our employees, this foundation supports nonprofit organizations focused on the education, health, and well-being of the communities where we live and work.
Transamerica’s Parent Company
Aegon acquired the Transamerica business in 1999. Aegon’s roots go back more than 175 years to the first half of the nineteenth century. Since then, Aegon has grown into an international company, with businesses in the Americas, Europe, and Asia. Today, Aegon is one of the world’s leading financial services organizations, providing life insurance, pensions, and asset management. 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.
Websites
Management Team
About the company
Helping people live better today and worry less about tomorrow. Products: Insurance, Retirement, Investment