Lead Compliance Analyst - Transamerica Asset Management
Core
Lead Compliance Analyst supporting mutual funds, ETFs, and separately managed accounts by maintaining compliance programs, reviewing marketing materials, and assisting in resolving regulatory violations.
Role type
Senior IC compliance analyst (asset management)
Builds
Compliance programs and reporting for mutual funds and investment products
Domain
Financial services / Asset management / Investment funds
Deliverable
dashboards & analysis
Required skills
Investment Company Act, Investment Advisers Act, anti-money laundering, marketing review, policy implementation, regulatory reporting, cross-departmental issue resolution
Preferred skills
Securities/compliance designations, code of ethics support, AI tool application, private funds exposure
Technologies
Microsoft Office Suite, Office 365
Responsibilities
Contribute to quarterly and annual chief compliance officer reporting; Support Compliance Manager in maintaining anti-money laundering program; Provide compliance review of marketing materials and due diligence questionnaires; Implement and document policies and procedures; Serve as subject-matter expert on compliance matters; Participate in governance committees
Seniority
Senior, hands-on IC