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Regulatory Compliance

Job Description Summary

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.
Who we are:
Today, we're part of an international holding company, Aegon, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them.
Transamerica Asset Management (TAM) is a division within Aegon Asset Management, an active global asset management firm with investment capabilities that span public and private markets across asset classes, sharing a common belief in fundamental, research-driven active management.
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:
This Lead Compliance Analyst will support TAM's sub-advisory oversight program which oversees approximately 27 subadvisers across 96 mutual funds and Exchange Traded Funds ("ETFs"), a number of Collective Investment Trusts(CITs), and will report to the Head of Compliance Subadviser Oversight. The position will also support the TAM Chief Compliance Officer ("CCO") with CCO quarterly and annual reporting for the Fund Board, compliance reporting for TAM, as well as carrying out key administrative, project management, and other core leadership functions.

Job Description

Responsibilities:

• Conduct oversight of the subadviser's to ensure they are in compliance with fund investment objective(s) and restrictions, the subadviser's compliance policies and procedures, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Internal Revenue Code, and all other applicable regulations, and any Board-adopted Fund policies and procedures.

• Review the compliance policies and procedures, and operations of subadvisers in connection with the Board's consideration and approval of sub-advisory agreements.

• Assist in the coordination of TAM Compliance's annual subadviser 15(c) advisory contract renewal process.

• Maintain and coordinate distribution of monthly, quarterly, annual, and ad hoc subadviser compliance questionnaires in CENTRL (third-party service provider of the Subadviser due diligence platform).

• Review and analyze subadviser responses to the monthly, quarterly, annual, and ad hoc subadviser compliance questionnaires in CENTRL and discuss any potential issues with the Head of Compliance Subadviser Oversight for further guidance on potential escalation to the TAM Chief Compliance Officer.

• Serve as a liaison between TAM Compliance and CENTRL regarding system maintenance, issue support, monthly enhancement reviews, and reporting.

• Participate in the monthly meetings with CENTRL to discuss open issues tickets, TAM enhancement requests, and upcoming CENTRL enhancements.

• Assist with subadviser onboarding and offboarding.

• Facilitate and coordinate preparation of quarterly and annual Board reports for the TAM Chief Compliance Officer. This includes incorporating both TAM and subadviser policy and procedure updates, formatting and finalizing the report for distribution to TAM Legal and facilitating TAM Compliance Board preparation and status meetings and post-Board meeting discussions.

• Maintain and publish TAM's and the TAM Fund's compliance policies and procedures library.

• Review and update standard operating procedures for assigned areas of responsibility.

• Track and perform key administerial and recordkeeping functions for regulatory exams.

• Assist with the development and maintenance of artificial intelligence use cases for TAM Compliance.

• Administration of the TAM Compliance team calendar, training log, and annual TAM Compliance resource assessment.

• Daily personnel email review for communications that pose regulatory or reputational risk and escalation when necessary.

• Perform special projects as assigned.

Required Qualifications:

• Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.

• Five years of regulatory or securities compliance experience. Areas of experience desired may vary based upon assigned compliance functions.

• Significant knowledge of securities laws, rules, and regulations.

• Strong organizational and research skills.

• Strong cross-team collaboration and project management skills.

• Proficient with prioritizing responsibilities and multi-tasking.

• Proficient written and verbal communication skills.

• Proficiency using MS Office tools.

• Driven towards exceeding expectations (i.e., deadlines, consideration of additional risks).

Preferred Qualifications

• Understanding the governing principles for building and using Artificial Intelligence ("AI"), including generative AI, machine learning, and other advanced analytic technologies as inputs, and parameters for utilizing outputs created by AI tools in support of your position responsibilities.

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**

The salary for this position generally ranges between $95,000 - $100,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, the position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion.

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits:

• 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 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

Job and compensation levels depend upon an applicant's qualifications including the extent of candidate's relevant experience and other job-related factors and will be determined by hiring supervisors/managers and HR.

At Transamerica Asset Management, we are committed to fostering a diverse workforce and an inclusive culture. We are more than an Asset Management firm - we are a people business, and we recognize that delivering excellent client outcomes comes from embracing diverse perspectives. We value diversity in the full range of human uniqueness without limitation including race, gender, ability, language, culture, beliefs, age, origin, background, perspectives and experiences.

#LI-Hybrid

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• 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 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

• 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

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a s...