Senior Compliance Officer - Aegon AM

Aegon Asset Management•Cedar Rapids, IA

28d•$90,000 - $120,000•Hybrid

About The Position

Aegon Asset Management (Aegon AM) is a leading global investor. Our 355 investment professionals manage and advise on assets of US $376 billion for a global client base of pension plans, public funds, insurance companies, banks, wealth managers, family offices and foundations. We organize our firm around four investment platforms: fixed income, real assets, equities and multi-asset & solutions, which includes a fiduciary and multi-manager business. Each investment platform has dedicated teams with deep asset-class expertise, organized globally and committed to maximizing client benefit from their specialist areas. We are an international business: Our 1,125 employees work from 14 locations across Europe, the Americas and Asia. We share a common belief in fundamental, research-driven active management, underpinned by effective risk management and a commitment to responsible investment. Position Overview: Administers areas of assigned compliance responsibilities to support Aegon Asset Management (Aegon AM) U.S. compliance programs. The role involves serving as lead subject matter expert for certain core investment adviser compliance functions, administering assigned policies, and performing related monitoring to ensure adherence to SEC regulatory requirements and established standards.

Requirements

Bachelor’s degree in business or related field, or equivalent education and experience.
A minimum of five years of relevant work experience in the investment management industry, or equivalent professional experience.
Solid academic background with strong quantitative/analytical skills.
Experience in a highly automated environment and/or high degree of comfort and fluency with computers and technology.
Ability to work in a small-team environment and to work independently, and to multi-task with minimal supervision.
Attention to detail and organizational skills, with the ability to multi-task deliverables in a fast-paced environment.
Resilient sense of accountability with a drive for results.
Professional maturity and ability to be discreet in working with highly sensitive information.

Nice To Haves

Experience at investment advisory firm with administration of Code of Ethics, Conflicts of Interest and related policies and procedures, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
Experience with employee personal trading and conflicts management compliance systems (e.g., FIS, ComplySci) is strongly preferred.
Experience with sanctions/PEP/AML screening tools (e.g., FinScan Focus, DowJones sanctions lists), post-trade compliance monitoring systems (e.g., ACA ComplianceAlpha (Decryptex)), electronic communications surveillance systems (e.g., ProofPoint) is a plus.

Responsibilities

Administer and manage implementation of the Code of Ethics (e.g., personal trading), Conflicts of Interest (e.g., Gifts & Entertainment, Outside Business Activities, etc.), Political Contributions (“pay-to-play”), Anti-Money Laundering (AML)/Sanctions and other related compliance policies and procedures, utilizing compliance systems as applicable.
Perform surveillance, monitoring and forensic testing of policies to identify, assess and address conflicts of interest, potential violations and regulatory compliance issues. Advise manager of risks and gaps, and recommend corrective actions.
Administer employee compliance certifications and conflicts questionnaires, review related disclosures/reporting and escalate items of interest as appropriate.
Provide advice and guidance related to assigned policies, administer employee training regarding regulatory compliance requirements, and help foster culture of compliance across the firm.
Manage routine and special projects, including compliance monitoring system implementation and related procedures.
Recommend enhancements to policies and procedures, monitoring, disclosures, and risk mitigating controls demonstrating knowledge of applicable regulations and compliance best practices.
Provide management reporting, administer responses to client questionnaires, compile information for regulatory examinations.
Stay abreast of applicable regulatory changes, assist with implementation of new regulatory requirements.
Collaborate closely with team members to drive compliance program enhancements, process and documentation improvements.
Partner with internal stakeholders across the firm and other 2nd line functions (e.g., Risk) as appropriate with regards to risk identification and mitigation.

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