Intermediate Advisor Training and Quality Assurance Consultant
Job in
Cedar Rapids, Linn County, Iowa, 52404, USA
Listed on 2026-07-09
Listing for:
Transamerica
Apprenticeship/Internship
position Listed on 2026-07-09
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Wealth Management
Job Description & How to Apply Below
Summary
Designs and delivers compliant training for licensed financial advisors and performs quality assurance reviews to support advisor performance and regulatory adherence within a regulated financial services environment.
Responsibilities- Design, update, and maintain onboarding and refresher training programs for licensed financial advisors.
- Deliver live and virtual training sessions and structured coaching engagements.
- Develop training materials, including presentations, job aids, scenarios, and microlearning content.
- Apply quality standards to conduct call monitoring and interaction reviews for licensed advisors.
- Identify performance gaps related to disclosures, suitability, and client communication.
- Provide feedback and coaching to improve advisor effectiveness and reduce compliance risk.
- Document quality findings and training activities to support supervisory oversight.
- Partner with Compliance and business teams to ensure training content aligns with firm policy.
- Bachelor’s degree in business or finance.
- Two years of experience in financial services training, quality assurance, or performance management.
- Experience delivering training or coaching for licensed professionals.
- Working knowledge of Financial Industry Regulatory Authority (FINRA) rules and advisor supervision standards.
- Proficient in MS Word, Excel, and PowerPoint.
- Experience in brokerage, wealth management, insurance, or investment advisory environments.
- Familiarity with learning management systems, eLearning tools, or call monitoring platforms.
- FINRA Series 6 certification.
- FINRA Series 65 or equivalent.
- Hybrid Environment.
Salary range: $65,000 – $75,000 annually. Annual bonus of up to 6% of base salary, based on Company Bonus Plan.
Benefits Summary- Pension Plan
- 401(k) Match
- Employee Stock Purchase Plan
- Medical, Dental, Vision Insurance
- Disability Insurance
- Paid Time Off, Paid Holidays, Parental Leave, Adoption Assistance
- Employee Assistance Program, Wellness Programs, ERGs, Diversity and Inclusion Initiatives
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