Lead Compliance Analyst, Asset Management

Transamerica Corporation; Denver (CO); Hybrid; USD 95,000 - 130,000; Full time

Job summary

Transamerica Asset Management is seeking a Lead Compliance Analyst to support TAM’s mutual funds, ETFs, and accounts through proactive compliance programs and cross-department collaboration. The role focuses on preventing violations of federal securities laws and ensuring adherence to regulatory standards.

Hybrid position based in Denver with optional offices in Baltimore or Cedar Rapids, IA. You will contribute to reporting, AML program maintenance, and review of materials and vendor oversight

Qualifications

• Experience in mutual funds, ETFs, and advisory/retail accounts.
• Strong knowledge of federal securities laws and compliance best practices.

Responsibilities

• Contribute to quarterly and annual compliance reporting to the Chief Compliance Officer.
• Support cross-department issue resolution and vendor oversight for TAM products.
• Maintain the mutual funds' anti-money laundering program and email supervision process.
• Review marketing materials and due diligence questionnaires for compliance.

Skills

Regulatory compliance

Financial services

Risk assessment

Job description

Transamerica Asset Management is seeking a Lead Compliance Analyst to support TAM’s mutual funds, ETFs, and accounts through proactive compliance programs and cross-department collaboration. The role focuses on preventing violations of federal securities laws and ensuring adherence to regulatory standards.

Hybrid position based in Denver with optional offices in Baltimore or Cedar Rapids, IA. You will contribute to reporting, AML program maintenance, and review of materials and vendor oversight