Lead Compliance Analyst - Transamerica Asset Management
About The Position
At Transamerica Asset Management (TAM), we are looking for a Lead Compliance Analyst to join our team. TAM is a division within Aegon Asset Management, an active global asset management firm. Our 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. Our business encompasses approximately $65 billion of net assets under management. As a Lead Compliance Analyst, you will be responsible for assisting with multiple functions and activities covering TAM’s suite of mutual funds, exchange-traded funds, collective investment trusts, and separately managed accounts (SMA)/retail wrap accounts. The position will contribute to the support and maintenance of multiple compliance programs that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, its products, and associated service providers.
Requirements
- Bachelor's or advanced degree(s), designation(s), or equivalent experience.
- Minimum 5 years of progressive mutual fund and investment adviser compliance experience.
- Knowledge and understanding of Investment Company and Investment Advisers Acts and associated rules and regulations.
- Excellent written and verbal communication skills.
- Superb critical-thinking and problem-solving skills.
- Advanced analytical, interpretive, and organizational skills.
- Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.).
- Familiarity with Office 365 and associated applications.
Nice To Haves
- Securities designations or compliance designations.
- Ability to comprehend complex issues.
- Comfortable engaging various technologies.
- Advertising and marketing review experience.
- Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs and best practices.
- Broad exposure to various investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.
- AI tool experience and familiarity; application to business use cases.
- Experience supporting fund and investment adviser code of ethics.
Responsibilities
- Contribute to quarterly and annual chief compliance officer reporting.
- Participate in cross-departmental issue resolution team.
- Support Compliance Manager in maintaining the mutual funds’ anti-money laundering program.
- Support Compliance Manager in maintaining email supervision system and process.
- Provide compliance review as subject matter expert, of relevant adviser and fund marketing materials and intermediary due diligence questionnaires and proposal requests.
- Contribute to structured compliance oversight of service providers to TAM’s products.
- Implement and document policies and procedures related to the funds and TAM’s products and services.
- Serve as subject-matter expert on assigned compliance-related matters.
- Participate in governance committees, as applicable.
- Initiate projects to improve efficiency of compliance programs, as warranted.
- Develop and maintain relationships with internal business partners, sub-adviser firms, and key service providers.
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
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
