Lead Investment Compliance Officer-Aegon AM
Job FamilyInvestment Compliance
Job Description SummaryCompany Overview:This position will be with AEGON Asset Management, the organization which oversees asset management for many of Transamerica's insurance and operating companies as well as third party clients. The global AEGON Asset Management organization has operations in Europe, the United States and Asia. Primary offices in the United States are located in Cedar Rapids, IA, Chicago, IL and Baltimore, MD. AEGON Asset Management and Transamerica are both part of the AEGON NV group of companies. The legal entities that comprise AEGON Asset Management US are AEGON USA Realty Advisors, LLC and AEGON USA Investment Management, LLC. AEGON USA Realty Advisors, LLC manages commercial real estate, commercial mortgage loans and other real estate related investments. AEGONUSA Investment Management, LLC, is a registered investment adviser that manages fixed income assets, including public bonds, private placements, derivatives and alternative investments. Position Overview: Regulatory compliance with federal securities laws and internal policies.Job Description
Leads and administers areas of assigned compliance responsibilities to support AAM US compliance programs.
Lead and administer assigned compliance policies and procedures; maintain policies in accordance with SEC regulations and consistent with AAM US practices.
Lead assigned compliance program responsibilities: monitoring, testing, annual reviews, and tracking.
Lead assigned regulatory filings to ensure that AAM US is in compliance with federal and state regulatory requirements, including the Form ADV Parts 1 and 2.
Advise manager of regulatory risks, gaps, and problem situations; lead corrective actions.
Prepare and maintain compliance program documentation. Respond to internal compliance questions and provide advice.
Administer responses to client requests and inquiries.
Compile information as directed for regulatory examinations and audits.
Review of marketing and advertising materials to ensure consistency with SEC requirements.
Train employees regarding regulatory compliance requirements as assigned by manager.
Represent Compliance team in meetings and committees to assure consistency and efficiency in compliance matters.
Minimum 8 years relevant work experience in the investment management industry or equivalent professional experience.
Senior level compliance experience with an investment adviser, broker dealer, or related industry.
Outstanding oral and written communication skills.
Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.
Attention to detail and organizational skills, with ability to multi-task deliverables in a fast paced environment.
Solid academic background with strong quantitative/analytical skills.
Prior experience in highly automated environment and/or high degree of comfort and fluency with computers and technology.
A strong sense of accountability with a drive for results.
Professional maturity and ability to be discreet in working with highly sensitive information.
Job and compensation levels depend upon an applicant’s qualifications including the extent of his/her relevant experience and other job related factors and will be determined by hiring supervisors/managers and HR.
Why Work for Us
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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: **** 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.
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At Transamerica, hard work, innovative thinking and personal accountability are qualities that we honor and reward. We understand the potential that is 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 focused on helping customers secure their long-term financial futures.
Transamerica is a part of AEGON, an international life insurance, pension, and asset management company. The AEGON companies employ approximately 28,000 people and have a strong presence in more than 20 countries across the globe. For more information, visit ****Apply Now