transamerica
Sr Sales Supervision Principal
At a Glance
- Location
- Cedar Rapids, Iowa, United States
- Employment
- Full time
- Compensation
- tion generally ranges between $65,000 - $75,000 annually/per hour. Please not
- Posted
- 2026-03-09
Key Requirements
Required Skills
Domain Knowledge
- Finance
Benefits & Perks
isability Insurance Medical Insurance Dental Insurance Vision Insurance Emplo
Requirements
FINRA Series 6 or 7.
FINRA Series 63, 26, 65, or 66, 24.
Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
Compensation & Benefits
The salary for this position generally ranges between $65,000 - $75,000 annually/per hour.
Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including
qualifications, experience, geography, work location designation (in-office, hybrid, remote) 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 the Company’s discretion.
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Responsibilities
Conduct suitability review of new business and provide compliance oversight of registered representatives.
Conduct and oversee account reviews for client’s best interest.
Preapprove complex products prior to distribution to clients.
Ensure adherence to business line processes and controls.
Track and assist with investment issues and complaints.
Track quality reports and identifying potential issues.