Lead Compliance Analyst - Transamerica 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

Job Family Regulatory Compliance

About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com.

Job Description Summary

At Transamerica Asset Management, high performance, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who we are: Today, we’re part of an international holding company, Aegon, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. Transamerica Asset Management (TAM) is a division within Aegon Asset Management, an active global asset management firm with investment capabilities that span public and private markets across asset classes, sharing a common belief in fundamental, research-driven active management.

What we do: TAM’s vision is to be a valued asset manager by growing a profitable, scalable investment platform that connects the right solutions to our clients’ needs. We provide active fixed income and differentiated equity strategies by following our Investor First process and leveraging the capabilities of our suite of sub-advisers. Our business encompasses approximately $65 billion of net assets under management; consisting of variable insurance funds, retail mutual funds, ETFs, collective investments trusts and other assets.

Position Overview

As a Lead Compliance Analyst, you will be responsible for assisting with multiple functions and activities covering TAM’s suite of mutual funds, exchange-traded funds, collective investment trusts, and separately managed accounts (SMA)/retail wrap accounts. The position will contribute to the support and maintenance of multiple compliance programs that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, its products, and associated service providers.

Job Description

PLEASE NOTE: This is a hybrid role, where the employee is expected to work a hybrid schedule in our Denver, Baltimore or Cedar Rapids, IA, office.

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