Lead Compliance Analyst - Funds & Investments (Hybrid)

Transamerica; Baltimore (MD); Hybrid; USD 98,000 - 105,000; Full time

Benefits offered by this job

401k Match

Pension Plan

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Paid Time Off

Job summary

Transamerica Asset Management (TAM) is seeking a Lead Compliance Analyst to support fund, ETF, and SMA compliance programs. The role covers the mutual funds, and advisory compliance landscape across TAM’s products and services.

The position involves working in a hybrid environment with various U.S. office locations, focusing on risk management, regulatory awareness, and collaboration with a broad partner network to protect investor interests.

Qualifications

• Bachelor’s or advanced degree(s) or equivalent experience.
• Minimum 5 years of mutual fund and investment adviser compliance experience.
• Knowledge of Investment Company and Investment Advisers Acts and related rules.
• Excellent written and verbal communication skills.
• Strong analytical, interpretive, and organizational skills.
• Proficient with Microsoft Office Suite (Outlook, Excel, Word).
• Familiarity with Office 365 applications.

Responsibilities

• Contribute to quarterly and annual CCO reporting.
• Participate in cross-department issue resolution.
• Support AML program for mutual funds.
• Support email supervision system and related processes.
• Provide compliance review of adviser and fund marketing materials and due diligence questionnaires.
• Contribute to governance and oversight of TAM’s funds and service providers.
• Document and implement policies and procedures for TAM’s products and services.
• Engage with internal partners and external sub-advisers to improve compliance programs.

Skills

Communication

Critical thinking

Analytical thinking

Microsoft Excel

Office 365 familiarity

Education

Bachelor’s or advanced degree

Tools

Microsoft Excel

Office 365

Job description

Transamerica Asset Management (TAM) is seeking a Lead Compliance Analyst to support fund, ETF, and SMA compliance programs. The role covers the mutual funds, and advisory compliance landscape across TAM’s products and services.

The position involves working in a hybrid environment with various U.S. office locations, focusing on risk management, regulatory awareness, and collaboration with a broad partner network to protect investor interests.