Lead Compliance Analyst - Transamerica Asset Management

Transamerica•Cedar Rapids, IA

2d•$98,000 - $105,000•Hybrid

About The Position

At Transamerica Asset Management (TAM), 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. 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. 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. 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 (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