Lead Compliance Analyst - Transamerica Asset Management at Transamerica · Denver, CO +2 more · Joined
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Lead Compliance Analyst - Transamerica Asset Management
Transamerica · Denver, CO +2 more · Just now · 0 applicants
NewHybridFull-timeSenior
Pay
$98k–$105kListed
Workplace
Hybrid
Job type
Full-time
Level
Senior
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
Transamerica Asset Management is looking for a Lead Compliance Analyst to support compliance programs for mutual funds, ETFs, CITs, SMAs, and related service providers, including regulatory reporting, policy maintenance, marketing-material reviews, and issue resolution. The role requires deep mutual fund and investment adviser compliance experience and knowledge of the Investment Company and Investment Advisers Acts.
What you’ll do
Support compliance programs for mutual funds, ETFs, CITs, SMAs, and related service providers
Perform regulatory reporting
Maintain compliance policies
Review marketing materials
Resolve compliance issues
What you’ll need
Bachelor's degree, advanced degree, designation(s), or equivalent experience
Minimum 5 years of progressive mutual fund and investment adviser compliance experience
Knowledge of the Investment Company and Investment Advisers Acts and associated rules
Strong communication, critical-thinking, problem-solving, analytical, and organizational skills
Proficiency with Microsoft Suite and Office 365
Experience supporting fund and investment adviser code of ethics
Original job description
Transamerica Asset Management is an active global asset management firm within Aegon Asset Management, offering investment capabilities across public and private markets. The Lead Compliance Analyst will support compliance programs covering mutual funds, exchange-traded funds, collective investment trusts, separately managed accounts, and related service…