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Transamerica · 1 day ago

Senior Director, Compliance – Transamerica Asset Management (TAM) (Hybrid - Denver)

Denver, CO

Full-time

Hybrid

Lead/Staff, Director/Executive

$180K/yr - $200K/yr

12+ years exp

Transamerica is a financial services company that focuses on helping people achieve their best life through innovative solutions. The Senior Director of Compliance will oversee compliance risk programs for the Transamerica Asset Management suite, ensuring adherence to federal regulations and providing strategic guidance to risk leadership.

Financial ServicesImpact InvestingInsurance

Responsibilities

Provide strategic direction and oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and applicable related regulatory requirements. Develop and assist in the preparation of reports for the TAM Chief Compliance Officer concerning these programs

Direct and assign projects and provide guidance to senior managers, managers, and other compliance staff to improve the efficiency of the department and the management of firm risks

Identify, analyze, and resolve compliance risk issues. Manage highly complex compliance matters

Recommend and develop corrective action or revisions to policies and procedures based upon findings from internal audits, compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends. Advise Chief Compliance Officer of regulatory risks, gaps, and problem situations; implement and lead corrective actions

Lead training initiatives including creating and delivering employee training regarding regulatory compliance requirements

Assist the CCO and Deputy CCO to develop, maintain and update compliance policies and procedures for multiple compliance activities, including drafting and review to ensure compliance with SEC regulations and TAM practices

Develop, lead, and manage compliance program responsibilities including monitoring, testing, annual reviews, and tracking

Direct and manage compliance projects and initiatives involving business line senior managers; provide compliance guidance and advice

Oversee and administer anti-money laundering, sanctions, and anti-fraud programs for TAM, the registered investment companies and the transfer agent

Lead regulatory examinations and audits as assigned by the Chief Compliance Officer

Work with multiple functions, units, or locations within the division/business unit to develop cost effective and common solutions to achieve regulatory compliance on a division-wide basis

Represent the company on industry committees and company-wide projects regarding various risk issues

Qualification

Compliance risk managementInvestment Company Act knowledgeRisk assessment experienceRisk analytics applicationsLeadership skillsProject management skillsAnalytical skillsOffice 365Securities/compliance designationsCommunication skillsCritical-thinking skillsProblem-solving skills

Required

Bachelor's degree in finance, business, or relevant field, or equivalent experience

12 years of progressive compliance and risk experience with a large and diverse investment company organization, including five years of experience in risk management functions

Extensive knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund, ETF and advisory account compliance regulations, programs, and best practices

Significant experience in risk assessment and developing testing programs

Understanding of GIPS performance standards

Proficient with risk analytics applications such as State Street Global Exchange truView and BlackRock Aladdin

Leadership and project management skills

Excellent written and verbal communication skills

Outstanding critical-thinking and problem-solving skills

Advanced analytical, interpretive, and organizational skills

Familiarity with Office 365 and associated applications with the ability to assess/engage various technologies, including AI

Preferred

Securities and/or compliance designations

Experience supporting retail separately managed account/wrap programs (SMAs)

Benefits

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

Transamerica

Glassdoor3.2

Transamerica is a private holding company that provides services for various life insurance companies and investment firms. It is a sub-organization of Aegon.

Founded in 1904

Cedar Rapids, Iowa, USA

5001-10000 employees