Lead Compliance Analyst (Hybrid) – Funds & Advisers

Aegon Asset Management; Denver (CO); Hybrid; USD 98,000 - 105,000; Full time

Benefits offered by this job

Bonus program

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Dental Insurance

Vision Insurance

Employee Discounts

Job summary

Transamerica Asset Management is seeking a Lead Compliance Analyst for a hybrid role based in Denver (also Baltimore or Cedar Rapids). You will support TAM’s mutual funds, ETFs, CICs, and SMA accounts by maintaining compliance programs to prevent and resolve violations of federal securities laws.

The ideal candidate has a bachelor’s or higher and at least 5 years of mutual fund compliance experience, excellent communication and analytical skills, and proficiency with Microsoft Office 365.

Qualifications

• Bachelor’s or advanced degree; equivalent experience.
• Minimum 5 years of mutual fund compliance experience.
• Knowledge of Investment Company and Investment Advisers Acts.
• Excellent written and verbal communication skills.
• Strong analytical, problem-solving, and organizational abilities.
• Proficient with Microsoft Office Suite.
• Familiarity with Office 365.

Responsibilities

• Contribute to CCO quarterly and annual reporting.
• Support cross-department issue resolution teams.
• Maintain fund AML program compliance.
• Review marketing materials and due diligence questionnaires.
• Oversee provider governance for TAM products.
• Document policies and procedures for funds and services.
• Engage with internal partners and service providers.

Skills

Mutual fund compliance

Communication skills

Analytical skills

Microsoft Office 365

Regulatory knowledge

Problem solving

Education

Bachelor’s degree

Advanced degree

Compliance designations

Job description

Transamerica Asset Management is seeking a Lead Compliance Analyst for a hybrid role based in Denver (also Baltimore or Cedar Rapids). You will support TAM’s mutual funds, ETFs, CICs, and SMA accounts by maintaining compliance programs to prevent and resolve violations of federal securities laws.

The ideal candidate has a bachelor’s or higher and at least 5 years of mutual fund compliance experience, excellent communication and analytical skills, and proficiency with Microsoft Office 365.