Lead Compliance Analyst - Transamerica Asset Management
Compensation
Not disclosed
Location
Denver, Colorado
Work setup
Hybrid
Seniority
Lead
Employment
Not specified
Experience
5+ years
Category
Legal
Posted
Must have
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 have
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.
Full description
Job Description Summary
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:
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.
Job Description
PLEASE NOTE: This is a hybrid role, where the employee is expected to work a hybrid schedule in our Denver, Baltimore or Cedar Rapids, IA, office.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
Required Qualifications:
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.
Preferred Qualifications
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.
Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.
The salary for this position generally ranges between $98,000 - $105,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, the position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Compensation Benefits:
Competitive Pay
Bonus for Eligible Employees
Benefits Package:
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits:
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
Job and compensation levels depend upon an applicant’s qualifications including the extent of candidate’s relevant experience and other job-related factors and will be determined by hiring supervisors/managers and HR.
At Transamerica Asset Management, we are committed to fostering a diverse workforce and an inclusive culture. We are more than an Asset Management firm – we are a people business, and we recognize that delivering excellent client outcomes comes from embracing diverse perspectives. We value diversity in the full range of human uniqueness without limitation including race, gender, ability, language, culture, beliefs, age, origin, background, perspectives and experiences.
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Why Work for Us
At Aegon Asset Management, we invest in You.
Our people are our greatest asset; with a competitive rewards program including incentive compensation, health and wellness benefits, retirement programs, and learning and development opportunities, our employees are engaged and empowered. Come be a part of driving our success!
Equal Opportunity Employer:
AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.
Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Aegon Companies. Please contact: applicantsupport@aegonusa.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs.
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Technical Assistance:
If you experience technical problems during the application process, please email applicantsupport@aegonusa.com.