Compliance Manager / AML Officer - Transamerica Asset Management

Job Description Summary

At Transamerica Asset Management, high performance, innovative thinking, and personal accountability are qualities we honor and reward. 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.
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.

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.
As the Compliance Manager / AML Officer, you will be responsible for contributing to the support and management of multiple compliance programs and functions that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, its mutual funds, ETFs, separately managed accounts (SMA)/retail wrap accounts, collective investment trusts, and associated service providers. In addition, the position will lead and maintain a robust anti-money laundering program and lead oversight of service providers for TAM’s suite of mutual funds.

Contribute to review and development of policies and procedures related to the funds and TAM’s products and services.
Provide structured compliance oversight of Transfer Agent and other service providers to TAM’s products.
Serve as primary administrator of TAM’s Joint Code of Ethics.
Lead and maintain anti-money laundering program and oversight framework for investment companies.
Oversee cross-departmental issue resolution team process, serving as primary escalation point.
Lead and maintain email supervision system and process.
Provide compliance review as subject matter expert of relevant adviser and fund marketing materials and social media posts.
Serve as subject-matter expert on assigned compliance-related matters.
Develop and maintain relationships with internal business partners, sub-adviser firms, and key service providers.
Provide leadership and direction across departments to ensure alignment of compliance goals and positions.
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.
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.

Experience as an AML Officer.
Securities designations or compliance designations.
Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs and best practices.
Broad exposure to various investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.
application to business use cases.
**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. 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.
Bonus for Eligible Employees
Pension Plan
~Employee Stock Purchase Plan
~ Tuition Reimbursement
~ Disability Insurance
~ Medical Insurance
~ Dental Insurance
~ Career Training & Development Opportunities

Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays)
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
Employee Assistance Program
Inclusion and Diversity Programs
Referral Bonus Programs
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.