Lead Compliance Analyst - Transamerica Asset Management

About the role

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.

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

The Lead Compliance Analyst position contributes 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. The role also involves contributing to structured compliance oversight of service providers to TAM’s products.

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.

Required 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.

Preferred Qualifications

• Securities designations or compliance designations.
• Ability to comprehend complex issues.
• Comfortable engaging various technologies.
• Advertising and marketing review experience.
• Broad exposure to various investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.
• Experience supporting fund and investment adviser code of ethics.
• AI tool experience and familiarity; application to business use cases.

Compensation

Competitive Pay Bonus for Eligible Employees
Benefits Package: Pension Plan, 401k Match, Employee Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Medical Insurance, Dental Insurance, Vision Insurance, Employee Discounts, Career Training & Development Opportunities, Health and Work/Life Balance Benefits: Paid Time Off, Ten (10) paid holidays per year, Be Well Company holistic wellness program, Parental Leave, Adoption Assistance, Employee Assistance Program, Back-Up Care Program, PTO for Volunteer Hours, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program, Referral Bonus Programs.