Compliance Manager, AML Officer
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Job Description
Compliance Manager/AML Officer supporting Transamerica Asset Management’s investment and mutual fund compliance programs. Leading AML oversight, service-provider supervision, and regulatory compliance initiatives.
Responsibilities:
- Contribute to review and development of policies and procedures related to funds and TAM products and services
- Provide structured compliance oversight of Transfer Agent and other service providers
- Serve as primary administrator of TAM’s Joint Code of Ethics
- Lead and maintain the anti-money laundering program and oversight framework for investment companies
- Oversee cross-departmental issue resolution team processes and serve as primary escalation point
- Lead and maintain the email supervision system and process
- Provide expert compliance review of adviser and fund marketing materials and social media posts
- Serve as subject-matter expert on assigned compliance matters
- Participate in governance committees, as applicable
- Develop and maintain relationships with internal business partners, sub-adviser firms, and key service providers
- Provide leadership and direction across departments to align compliance goals and positions
Requirements:
- Bachelor’s or advanced degree(s), designation(s), or equivalent experience
- Experience with anti-money laundering programs and expertise in regulatory compliance, risk assessment, transaction monitoring, and fraud prevention
- Minimum 8 years of progressive mutual fund and investment adviser compliance experience
- Knowledge and understanding of Investment Company and Investment Advisers Acts and associated rules and regulations
- Excellent written and verbal communication skills
- Superb critical-thinking and problem-solving skills
- Advanced analytical, interpretive, and organizational skills
- Ability to lead and manage select components of fund and adviser compliance programs
- Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.)
- Familiarity with Office 365 and associated applications
- Preferred: Experience as an AML Officer
- Preferred: Securities designations or compliance designations
- Preferred: Ability to comprehend complex issues
- Preferred: Adaptability and flexibility
- Preferred: Comfort engaging various technologies
- Preferred: Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs and best practices
- Preferred: Broad exposure to investment adviser products, including exchange-traded funds, separately managed accounts, and private funds
- Preferred: AI tool experience and familiarity; application to business use cases
Benefits:
- Annual Bonus based on the Company Bonus Plan/Individual Performance
- 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
- Be Well Company holistic wellness program, including Wellness Coaching and Reward Dollars
- Paid parental leave of fifteen (15) days per calendar year for eligible employees with at least one year of service
- 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
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