Aegon Denver , CO 80208
Posted 2 months ago
Job Family
Regulatory Compliance
About Us
At Transamerica, hard work, 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.
Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.
Who We Are
Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We're a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica's dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America's leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.
What We Do
Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).
Job Description Summary
Assist the Transamerica Asset Management ("TAM") Chief Compliance Officer, Director of Compliance and Compliance Manager by performing multiple oversight functions covering administration of Code of Ethics (including personal trade surveillance), regulatory reporting, marketing and due diligence questionnaire review and related compliance activities across TAM's suite of mutual funds, variable annuity funds, exchange-traded funds and collective investment trusts. The position will contribute to the success of multiple risk and compliance programs that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, the Fund complex, and Service Providers.
Job Description
Responsibilities
Assist in preparation and delivery of compliance presentations to TAM Committees
Generate and create quarterly and annual chief compliance officer reporting
Daily administration of Code of Ethics, focusing on areas such as personal trading, insider trading, gifts and entertainment, and political contributions
Manage regulatory reporting obligations (e.g., ADV, Form PQR, Form N-PX, NFA, LEI filings)
Review marketing and due diligence questionnaire materials
Conduct compliance testing, surveillance, and mock audits
Assist with subadviser due diligence, monitoring, and related reports
Develop and maintain relationships with internal business partners, subadviser firms, and key service providers
Proactively researching to stay up to date with Rule 38a-1 and Rule 206(4)-7 regulations and rules
Researching, analyzing, and interpreting current, new, and proposed regulatory requirements
Implementing and documenting policies and procedures relating to mutual funds, ETFs, CITs and investment advisers
Communicating regulations to internal and external parties
Communicating across departments to ensure alignment of compliance goals
Serving as a subject-matter expert on assigned risk and compliance-related matters
Developing procedures and workflows to meet compliance documentation standards
Creating and executing any employee training sessions or documents
Initiating projects to improve efficiency of compliance programs as warranted
Qualifications
Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Four years of progressive mutual fund compliance experience.
Excellent written and verbal communication skills.
Demonstrated ability to use critical-thinking and problem-solving skills.
Strong analytical, interpretive, and organizational skills.
Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.).
Familiarity with Office 365 and associated applications.
Preferred Qualifications
Knowledge and understanding of Investment Company and Adviser Acts, Mutual Fund and ETF Compliance regulations, programs and best practices
Familiarity with personal trading monitoring platforms such as ComplySci or Schwab CT
Familiarity with applications such as My State Street
Ability to analyze and interpret complex data sets
Adaptability and flexibility
Comfortable engaging various technologies
Securities designations or compliance designations a plus
Working Conditions
Hybrid office environment.
Denver, CO, Baltimore, MD, Cedar Rapids, IA or remote locations.
Compensation
The US salary for this position generally ranges between $70,000 - $85,000 annually. This range is an estimate, based on potential employee qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally in the US, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion.
This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.
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
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
Peer Recognition Program (BRAVO)
As of December 31, 2022
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 supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.
Giving Back
We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.
https://www.transamerica.com/why-transamerica/aegon-transamerica-foundation
Transamerica's Parent Company
Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.
Aegon