Lead Compliance Analyst - Transamerica AM

Aegon Asset Management•Cedar Rapids, IA

1d•$95,000 - $100,000•Hybrid

About The Position

At Transamerica Asset Management, high performance, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by 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. Who we are: Today, we’re part of an international holding company, Aegon, 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. Transamerica Asset Management (TAM) is a division within Aegon Asset Management, an active global asset management firm with investment capabilities that span public and private markets across asset classes, sharing a common belief in fundamental, research-driven active management. What we do: TAM’s vision is to be a valued asset manager by growing a profitable, scalable investment platform that connects the right solutions to our clients’ needs. We provide active fixed income and differentiated equity strategies by following our Investor First process and leveraging the capabilities of our suite of sub-advisers. Our business encompasses approximately $65 billion of net assets under management; consisting of variable insurance funds, retail mutual funds, ETFs, collective investments trusts and other assets. Position Overview: This Lead Compliance Analyst will support TAM’s sub-advisory oversight program which oversees approximately 27 subadvisers across 96 mutual funds and Exchange Traded Funds (“ETFs”), a number of Collective Investment Trusts(CITs), and will report to the Head of Compliance Subadviser Oversight. The position will also support the TAM Chief Compliance Officer (“CCO”) with CCO quarterly and annual reporting for the Fund Board, compliance reporting for TAM, as well as carrying out key administrative, project management, and other core leadership functions.

Requirements

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Five years of regulatory or securities compliance experience. Areas of experience desired may vary based upon assigned compliance functions.
Significant knowledge of securities laws, rules, and regulations.
Strong organizational and research skills.
Strong cross-team collaboration and project management skills.
Proficient with prioritizing responsibilities and multi-tasking.
Proficient written and verbal communication skills.
Proficiency using MS Office tools.
Driven towards exceeding expectations (i.e., deadlines, consideration of additional risks).

Nice To Haves

Understanding the governing principles for building and using Artificial Intelligence (“AI”), including generative AI, machine learning, and other advanced analytic technologies as inputs, and parameters for utilizing outputs created by AI tools in support of your position responsibilities.

Responsibilities

Conduct oversight of the subadviser’s to ensure they are in compliance with fund investment objective(s) and restrictions, the subadviser’s compliance policies and procedures, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Internal Revenue Code, and all other applicable regulations, and any Board-adopted Fund policies and procedures.
Review the compliance policies and procedures, and operations of subadvisers in connection with the Board’s consideration and approval of sub-advisory agreements.
Assist in the coordination of TAM Compliance’s annual subadviser 15(c) advisory contract renewal process.
Maintain and coordinate distribution of monthly, quarterly, annual, and ad hoc subadviser compliance questionnaires in CENTRL (third-party service provider of the Subadviser due diligence platform).
Review and analyze subadviser responses to the monthly, quarterly, annual, and ad hoc subadviser compliance questionnaires in CENTRL and discuss any potential issues with the Head of Compliance Subadviser Oversight for further guidance on potential escalation to the TAM Chief Compliance Officer.
Serve as a liaison between TAM Compliance and CENTRL regarding system maintenance, issue support, monthly enhancement reviews, and reporting.
Participate in the monthly meetings with CENTRL to discuss open issues tickets, TAM enhancement requests, and upcoming CENTRL enhancements.
Assist with subadviser onboarding and offboarding.
Facilitate and coordinate preparation of quarterly and annual Board reports for the TAM Chief Compliance Officer. This includes incorporating both TAM and subadviser policy and procedure updates, formatting and finalizing the report for distribution to TAM Legal and facilitating TAM Compliance Board preparation and status meetings and post-Board meeting discussions.
Maintain and publish TAM’s and the TAM Fund’s compliance policies and procedures library.
Review and update standard operating procedures for assigned areas of responsibility.
Track and perform key administerial and recordkeeping functions for regulatory exams.
Assist with the development and maintenance of artificial intelligence use cases for TAM Compliance.
Administration of the TAM Compliance team calendar, training log, and annual TAM Compliance resource assessment.
Daily personnel email review for communications that pose regulatory or reputational risk and escalation when necessary.
Perform special projects as assigned.

Benefits

Competitive Pay
Bonus for Eligible Employees
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 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