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Company

Transamerica · 10 hours ago

Senior Compliance Analyst – Trust Company / Investment Funds / Asset Management

United States

Full-time

Remote

Mid, Senior Level

$80K/yr - $95K/yr

4+ years exp

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Responsibilities

Maintain, update, and test compliance policies and procedures; identify, recommend, and implement new and/or enhanced practices

Contribute to the development, implementation, and documentation of due diligence practices relating to delegated 3(38) services for third-party advisor managed CITs

Monitor and assist with initial and ongoing due diligence of third-party advisors, due diligence committee meetings, and the review of annual certifications

Monitor industry developments; support business partners with guidance on regulatory compliance issues relating to CITs

Partner with Legal in conducting research and analysis of current, new, and proposed regulatory requirements and communicating the potential impact on the business

Provide compliance support with the development and formation of CITs

Develop and maintain strong relationships with internal business partners

Compile information for management and regulatory reporting

Assist team members with assigned tasks, projects, and training

Qualification

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Regulatory ComplianceCIT Compliance ExperienceInvestment Management KnowledgeMS Office Proficiency

Required

Bachelor’s degree in business, pre-law or other relevant field, or equivalent education and experience

Four years of regulatory, securities, trust company, and/or CIT compliance experience with significant exposure to investment company, investment management, and/or CIT matters, and knowledge of relevant laws such as FINRA rules, Securities Act, Exchange Act, Investment Advisers Act, Investment Company Act, and ERISA

Demonstrated critical thinking and problem-solving skills

Comfortable and ability to exercise sound judgement in rapidly changing corporate environment

Effective communication, organizational, analytical and research skills

Action oriented, ability to prioritize workload with high degree of accuracy and attention to detail

Proficiency using MS Office tools

Preferred

4 years of CIT (collective investment trust) experience

Benefits

Competitive Pay

Bonus for Eligible Employees

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Disability Insurance

Medical Insurance

Dental Insurance

Vision Insurance

Employee Discounts

Career Training & Development Opportunities

Paid Time Off starting at 160 hours annually for employees in their first year of service.

Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars

Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.

Adoption Assistance

Employee Assistance Program

College Coach 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