Aegon Asset Management · 3 days ago
Senior Compliance Officer - Aegon AM
Cedar Rapids, IA
Full-time
Hybrid
Mid, Senior Level
$90K/yr - $120K/yr
5+ years expAegon Asset Management (Aegon AM) is a leading global investor. The Senior Compliance Officer will administer compliance responsibilities to support U.S. compliance programs, serving as a subject matter expert for investment adviser compliance functions and ensuring adherence to SEC regulatory requirements.
CrowdfundingFinancial Services
Responsibilities
Administer and manage implementation of the Code of Ethics (e.g., personal trading), Conflicts of Interest (e.g., Gifts & Entertainment, Outside Business Activities, etc.), Political Contributions (“pay-to-play”), Anti-Money Laundering (AML)/Sanctions and other related compliance policies and procedures, utilizing compliance systems as applicable
Perform surveillance, monitoring and forensic testing of policies to identify, assess and address conflicts of interest, potential violations and regulatory compliance issues. Advise manager of risks and gaps, and recommend corrective actions
Administer employee compliance certifications and conflicts questionnaires, review related disclosures/reporting and escalate items of interest as appropriate
Provide advice and guidance related to assigned policies, administer employee training regarding regulatory compliance requirements, and help foster culture of compliance across the firm
Manage routine and special projects, including compliance monitoring system implementation and related procedures
Recommend enhancements to policies and procedures, monitoring, disclosures, and risk mitigating controls demonstrating knowledge of applicable regulations and compliance best practices
Provide management reporting, administer responses to client questionnaires, compile information for regulatory examinations
Stay abreast of applicable regulatory changes, assist with implementation of new regulatory requirements
Collaborate closely with team members to drive compliance program enhancements, process and documentation improvements
Partner with internal stakeholders across the firm and other 2nd line functions (e.g., Risk) as appropriate with regards to risk identification and mitigation
Qualification
Required
Bachelor's degree in business or related field, or equivalent education and experience
A minimum of five years of relevant work experience in the investment management industry, or equivalent professional experience
Solid academic background with strong quantitative/analytical skills
Experience in a highly automated environment and/or high degree of comfort and fluency with computers and technology
Ability to work in a small-team environment and to work independently, and to multi-task with minimal supervision
Attention to detail and organizational skills, with the ability to multi-task deliverables in a fast-paced environment
Resilient sense of accountability with a drive for results
Professional maturity and ability to be discreet in working with highly sensitive information
Preferred
Experience at investment advisory firm with administration of Code of Ethics, Conflicts of Interest and related policies and procedures, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
Experience with employee personal trading and conflicts management compliance systems (e.g., FIS, ComplySci) is strongly preferred
Experience with sanctions/PEP/AML screening tools (e.g., FinScan Focus, DowJones sanctions lists), post-trade compliance monitoring systems (e.g., ACA ComplianceAlpha (Decryptex)), electronic communications surveillance systems (e.g., ProofPoint) is a plus
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
Company
Aegon Asset Management
Aegon Asset Management is a global, active investment manager.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Shawn C.D. Johnson
Chief Executive Officer
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