Senior Director, Compliance - Transamerica Asset Management (TAM)

Aegon•Denver, CO

39d•$180,000 - $200,000•Hybrid

About The Position

Perform strategic compliance risk program design and oversight of investment and operational risk activities for the Transamerica Asset Management (TAM) suite of mutual funds, commodity pools, collective investment trusts, and exchange traded funds (ETFs) and separately managed accounts (SMA) program. Provide strategic and technical guidance to Risk leadership and evolve TAM risk assessment and related testing programs. Contributor to the success of multiple compliance programs designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the funds for which TAM advises, and service providers.

Requirements

Bachelor's degree in finance, business, or relevant field, or equivalent experience
12 years of progressive compliance and risk experience with a large and diverse investment company organization, including five years of experience in risk management functions
Extensive knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund, ETF and advisory account compliance regulations, programs, and best practices
Significant experience in risk assessment and developing testing programs
Understanding of GIPS performance standards
Proficient with risk analytics applications such as State Street Global Exchange truView and BlackRock Aladdin
Leadership and project management skills
Excellent written and verbal communication skills
Outstanding critical-thinking and problem-solving skills
Advanced analytical, interpretive, and organizational skills
Familiarity with Office 365 and associated applications with the ability to assess/engage various technologies, including AI

Nice To Haves

Securities and/or compliance designations
Experience supporting retail separately managed account/wrap programs (SMAs)

Responsibilities

Provide strategic direction and oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and applicable related regulatory requirements. Develop and assist in the preparation of reports for the TAM Chief Compliance Officer concerning these programs.
Direct and assign projects and provide guidance to senior managers, managers, and other compliance staff to improve the efficiency of the department and the management of firm risks.
Identify, analyze, and resolve compliance risk issues. Manage highly complex compliance matters.
Recommend and develop corrective action or revisions to policies and procedures based upon findings from internal audits, compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends. Advise Chief Compliance Officer of regulatory risks, gaps, and problem situations; implement and lead corrective actions.
Lead training initiatives including creating and delivering employee training regarding regulatory compliance requirements.
Assist the CCO and Deputy CCO to develop, maintain and update compliance policies and procedures for multiple compliance activities, including drafting and review to ensure compliance with SEC regulations and TAM practices.
Develop, lead, and manage compliance program responsibilities including monitoring, testing, annual reviews, and tracking.
Direct and manage compliance projects and initiatives involving business line senior managers; provide compliance guidance and advice.
Oversee and administer anti-money laundering, sanctions, and anti-fraud programs for TAM, the registered investment companies and the transfer agent.
Lead regulatory examinations and audits as assigned by the Chief Compliance Officer.
Work with multiple functions, units, or locations within the division/business unit to develop cost effective and common solutions to achieve regulatory compliance on a division-wide basis.
Represent the company on industry committees and company-wide projects regarding various risk issues.

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