Lead Compliance Analyst - Transamerica Asset Management
Description
Job Family
Regulatory Compliance
About Us
At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of 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
We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life .
Today, we’re part of an international holding company, 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.
We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.
What We Do
Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate , which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.
Transamerica employs nearly 7 ,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. * For more information, visit transamerica.com .
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
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Contribute to quarterly and annual chief compliance officer reporting.
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Participate in cross-departmental issue resolution team.
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Support Compliance Manager in maintaining the mutual funds’ anti-money laundering program.
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Support Compliance Manager in maintaining email supervision system and process.
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Provide compliance review as subject matter expert, of relevant adviser and fund marketing materials and intermediary due diligence questionnaires and proposal requests.
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Contribute to structured compliance oversight of service providers to TAM’s products.
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Implement and document policies and procedures related to the funds and TAM’s products and services.
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Serve as subject-matter expert on assigned compliance-related matters.
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Participate in governance committees, as applicable.
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Initiate projects to improve efficiency of compliance programs, as warranted.
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Develop and maintain relationships with internal business partners, sub-adviser firms, and key service providers
Required Qualifications:
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Bachelor’s or advanced degree(s), designation(s), or equivalent experience.
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Minimum 5 years of progressive mutual fund and investment adviser compliance experience.
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Knowledge and understanding of Investment Company and Investment Advisers Acts and associated rules and regulations.
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Excellent written and verbal communication skills.
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Superb critical-thinking and problem-solving skills.
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Advanced analytical, interpretive, and organizational skills.
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Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.).
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Familiarity with Office 365 and associated applications.
Preferred Qualifications
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Securities designations or compliance designations.
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Ability to comprehend complex issues.
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Comfortable engaging various technologies.
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Advertising and marketing review experience.
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Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs and best practices.
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Broad exposure to various investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.
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AI tool experience and familiarity; application to business use cases.
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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-b