At Transamerica Asset Management, we are looking for a Senior Director, Compliance to provide strategic direction and oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs.
Requirements
- Provide strategic direction and oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and applicable related regulatory requirements.
- Direct and assign projects and provide guidance to senior managers, managers, and other compliance staff to improve the efficiency of the department and the management of firm risks.
- Identify, analyze, and resolve compliance risk issues. Manage highly complex compliance matters.
- Recommend and develop corrective action or revisions to policies and procedures based upon findings from internal audits, compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends.
- Advise Chief Compliance Officer of regulatory risks, gaps, and problem situations; implement and lead corrective actions.
- Lead training initiatives including creating and delivering employee training regarding regulatory compliance requirements.
- Assist the CCO and Deputy CCO to develop, maintain and update compliance policies and procedures for multiple compliance activities, including drafting and review to ensure compliance with SEC regulations and TAM practices.
- Develop, lead, and manage compliance program responsibilities including monitoring, testing, annual reviews, and tracking.
- Direct and manage compliance projects and initiatives involving business line senior managers; provide compliance guidance and advice.
- Oversee and administer anti-money laundering, sanctions, and anti-fraud programs for TAM, the registered investment companies and the transfer agent.
- Lead regulatory examinations and audits as assigned by the Chief Compliance Officer.
- Work with multiple functions, units, or locations within the division/business unit to develop cost effective and common solutions to achieve regulatory compliance on a division-wide basis.
- Represent the company on industry committees and company-wide projects regarding various risk issues.
Benefits
- Competitive Pay
- Bonus for Eligible Employees
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Paid Time Off
- Paid Holidays
- Wellness Coaching
- Parental Leave
- 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
