Senior Compliance Analyst - Trust Company, Investment Funds, Asset Management

3 days ago

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Transamerica

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Insurance • Investments • Retirement

5001 - 10000 employees

Founded 1904

💸 Finance

Description

• The Senior Compliance Analyst assists the Transamerica Trust Company (“TTC”) Chief Compliance Officer with a variety of functions supporting the TTC compliance program including the oversight of third party investment managers, enforcement of policies, procedures and regulatory requirements, corporate governance, and other functions designed to prevent, detect, and correct potential violations of applicable laws and regulations. • Maintain, update, and test compliance policies and procedures; identify, recommend, and implement new and/or enhanced practices • Contribute to the development, implementation, and documentation of due diligence practices relating to delegated 3(38) services for third-party advisor managed CITs • Monitor and assist with initial and ongoing due diligence of third-party advisors, due diligence committee meetings, and the review of annual certifications • Monitor industry developments; support business partners with guidance on regulatory compliance issues relating to CITs • Partner with Legal in conducting research and analysis of current, new, and proposed regulatory requirements and communicating the potential impact on the business • Provide compliance support with the development and formation of CITs • Develop and maintain strong relationships with internal business partners • Compile information for management and regulatory reporting • Assist team members with assigned tasks, projects, and training

Requirements

• Bachelor’s degree in business, pre-law or other relevant field, or equivalent education and experience • Four years of regulatory, securities, trust company, and/or CIT compliance experience with significant exposure to investment company, investment management, and/or CIT matters, and knowledge of relevant laws such as FINRA rules, Securities Act, Exchange Act, Investment Advisers Act, Investment Company Act, and ERISA • Demonstrated critical thinking and problem-solving skills • Comfortable and ability to exercise sound judgement in rapidly changing corporate environment • Effective communication, organizational, analytical and research skills • Action oriented, ability to prioritize workload with high degree of accuracy and attention to detail • Proficiency using MS Office tools

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