Investment Compliance Specialist

Aegon Denver , CO 80208

Posted 5 days ago

Responsibilities

  • Lead the effort to satisfy internal and external information requests regarding Investment Management procedures, processes, and due diligence documentation.

  • Draft new procedures and updates existing procedures for Investment Management as needed.

  • Ensure compliance with Investment Management processes and procedures by sampling and auditing Investment Management team documentary evidence on an ongoing basis. In consultation with senior management, implements additional controls to strengthen processes and procedures as needed.

  • Lead liquidity and risk management program for Investment Management, working directly with TAM Compliance and Investment Analysts to monitor funds for adherence to TAM standards and enhance liquidity and risk guidelines as needed.

  • Contribute and participate in TAM committees, including Investment Risk Committee, Investment Committee, Trade Oversight Committee, and Model Review Committee. Summarizes discussion and action items for committees.

  • Participate in Investment Management's weekly research meeting, keeping team informed of regulatory developments and sharing best practices for investment compliance.

  • Assist in and coordinate the production of dashboard reports for IM committees, including Investment Risk Committee, Model Review Committee, Trade Oversight Committee, and Investment Committee.

  • Ensure adequacy of model review responses and documentation, including follow-up by analysts when needed.

  • Organize committee meetings, collect and prepare materials, maintain committee meeting archives.

  • Serve as IM and Product Management (PM) Business Continuity Planning (BCP) liaison, coordinate BCP planning, and represent IM and PM in firm-wide BCP events.

Qualifications

  • Bachelor's degree in an investment or finance-related field (e.g. economics, finance, accounting)

  • Three years of experience working in an investment-related compliance and/or risk management role

  • Two years of experience working with mutual funds or institutionally managed separate accounts

  • Knowledge of the securities and mutual fund industry, including rules and regulations of the 1940 Act

  • Ability to write clearly and concisely in a variety of business formats

  • Interpersonal communication skills

  • Ability to prioritize multiple responsibilities and meet deadlines

  • Proficiency using MS Excel and PowerPoint

Preferred Qualifications

  • Familiarity with investment databases (i.e. Morningstar, FactSet, eVestment)

Working Conditions

  • Office environment

  • Occasional travel

Company information

Why Work for Us

Total Rewards at Transamerica: It's more than a paycheck. Our comprehensive Total Rewards package is designed to help support you in many ways throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mind to help you live your best life, grow personally and professionally - and feel valued for the work you do.

Learn more about our Total Rewards Package.

Equal Opportunity Employer:

Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. If you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs, please contact: applicantsupport@transamerica.com.

Technical Assistance:

If you experience technical problems during the application process, please email applicantsupport@transamerica.com.

Apply

Transamerica Transamerica careers

Visit the dedicated careers website for more information about working for Transamerica.

Learn more

Roles Roles at Aegon

Find out more about different roles available at Aegon and Transamerica Globally.

Learn more


See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Investment Compliance Specialist

Transamerica Life Insurance Company

Posted 2 weeks ago

VIEW JOBS 10/31/2018 12:00:00 AM 2019-01-29T00:00 Job FamilyFund Investment Job Description SummaryThe Investment Compliance Specialist provides compliance support to the investment management team at Transamerica Asset Management (TAM). Strengthens the relationship with and provides information to TAM compliance, internal auditors, external consultants, and regulatory agencies (through TAM compliance and legal).Job Description Responsibilities * Lead the effort to satisfy internal and external information requests regarding Investment Management procedures, processes, and due diligence documentation. * Draft new procedures and updates existing procedures for Investment Management as needed. * Ensure compliance with Investment Management processes and procedures by sampling and auditing Investment Management team documentary evidence on an ongoing basis. In consultation with senior management, implements additional controls to strengthen processes and procedures as needed. * Lead liquidity and risk management program for Investment Management, working directly with TAM Compliance and Investment Analysts to monitor funds for adherence to TAM standards and enhance liquidity and risk guidelines as needed. * Contribute and participate in TAM committees, including Investment Risk Committee, Investment Committee, Trade Oversight Committee, and Model Review Committee. Summarizes discussion and action items for committees. * Participate in Investment Management's weekly research meeting, keeping team informed of regulatory developments and sharing best practices for investment compliance. * Assist in and coordinate the production of dashboard reports for IM committees, including Investment Risk Committee, Model Review Committee, Trade Oversight Committee, and Investment Committee. * Ensure adequacy of model review responses and documentation, including follow-up by analysts when needed. * Organize committee meetings, collect and prepare materials, maintain committee meeting archives. * Serve as IM and Product Management (PM) Business Continuity Planning (BCP) liaison, coordinate BCP planning, and represent IM and PM in firm-wide BCP events. Qualifications * Bachelor's degree in an investment or finance-related field (e.g. economics, finance, accounting) * Three years of experience working in an investment-related compliance and/or risk management role * Two years of experience working with mutual funds or institutionally managed separate accounts * Knowledge of the securities and mutual fund industry, including rules and regulations of the 1940 Act * Ability to write clearly and concisely in a variety of business formats * Interpersonal communication skills * Ability to prioritize multiple responsibilities and meet deadlines * Proficiency using MS Excel and PowerPoint Preferred Qualifications * Familiarity with investment databases (i.e. Morningstar, FactSet, eVestment) Working Conditions * Office environment * Occasional travel Why Work for Us Total Rewards at Transamerica: It's more than a paycheck. Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career. We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks. All designed with you in mind… to help you live your best life, grow personally and professionally - and feel valued for the work you do. Learn more about our Total Rewards Package. Equal Opportunity Employer: Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws. AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws. Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. Please contact: applicantsupport@transamerica.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs. Ontario Applicants: Our Company is committed to providing accessibility to those with disabilities in a manner that is consistent with the principles of independence, dignity, integration and equality of opportunity, that is in compliance with the Accessibility for Ontarians with Disabilities Act 2005 ("AODA"). Please contact applicantsupport@transamerica.com if you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs. Technical Assistance: If you experience technical problems during the application process, please email applicantsupport@transamerica.com. Transamerica Life Insurance Company Denver CO

Investment Compliance Specialist

Aegon