Compliance Manager & AML Lead, Asset Management

Transamerica; Denver (CO); On-site; USD 135,000 - 159,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Disability Insurance

Medical Insurance

Dental Insurance

Vision Insurance

Employee Discounts

Career Training & Development Opportun

Job summary

Transamerica Asset Management, a division within Aegon Asset Management, seeks a Compliance Manager / AML Officer to support and manage comprehensive compliance programs across TAM and its funds.

In this role you will lead anti-money laundering initiatives, oversee service-provider compliance, and guide governance with strong regulatory knowledge, risk assessment, and clear communication across teams.

Qualifications

• Bachelor’s degree or equivalent experience required.
• 8+ years mutual fund and investment adviser compliance experience.
• Strong knowledge of Investment Company and Investment Advisers Acts.
• Experience with AML programs and regulatory risk management.
• Excellent written and verbal communication; strong analytical skills.

Responsibilities

• Contribute to development of policies and procedures for TAM funds and services.
• Provide compliance oversight of Transfer Agent and service providers.
• Serve as primary administrator of TAM’s Joint Code of Ethics.
• Lead AML program and oversight framework for investment companies.
• Oversee cross-department issue-resolution process as escalation point.
• Lead and maintain email supervision system.
• Review compliance of adviser and fund marketing materials and social posts.
• Engage in governance committees as applicable.
• Build relationships with internal partners and service providers.
• Provide leadership to align compliance goals across departments.

Skills

AML programs

Regulatory compliance

Risk assessment

Transaction monitoring

Fraud prevention

Education

Bachelor’s degree or higher

Tools

Office 365

Microsoft Office

Job description

Transamerica Asset Management, a division within Aegon Asset Management, seeks a Compliance Manager / AML Officer to support and manage comprehensive compliance programs across TAM and its funds.

In this role you will lead anti-money laundering initiatives, oversee service-provider compliance, and guide governance with strong regulatory knowledge, risk assessment, and clear communication across teams.