Hybrid Lead Compliance Analyst -- Mutual Funds

Transamerica; Denver (CO); Hybrid; USD 98,000 - 105,000; Full time

Job summary

Transamerica seeks a Lead Compliance Analyst for a hybrid role based in Denver, with potential opportunities in Baltimore or Cedar Rapids. The role focuses on supporting TAM’s mutual funds and advisory compliance programs, maintaining monitoring systems, and ensuring regulatory adherence across funds and service providers.

Qualified candidates will have 5+ years in mutual fund and investment adviser compliance, strong communication, analytical, and problem-solving skills, and familiarity with

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.

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

Skills

Mutual fund compliance

Regulatory knowledge

Communication skills

Critical thinking

Analytical skills

Problem solving

Education

Bachelor's degree or higher

Securities designations or compliance designations

Tools

Microsoft Office

Office 365

Job description

Transamerica seeks a Lead Compliance Analyst for a hybrid role based in Denver, with potential opportunities in Baltimore or Cedar Rapids. The role focuses on supporting TAM’s mutual funds and advisory compliance programs, maintaining monitoring systems, and ensuring regulatory adherence across funds and service providers.

Qualified candidates will have 5+ years in mutual fund and investment adviser compliance, strong communication, analytical, and problem-solving skills, and familiarity with