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Aegon · 1 day ago

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

United States

Full-time

Hybrid

Lead/Staff, Director/Executive

$180K/yr - $200K/yr

12+ years exp

Aegon is a global leader in financial services, and they are seeking a Senior Director of Compliance for Transamerica Asset Management (TAM). This role involves overseeing compliance risk programs, providing strategic guidance, and leading initiatives to ensure adherence to federal securities laws and regulations.

Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement

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 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