[Hiring] Compliance Manager / AML Officer @Aegon Asset Management

Role Description

As the Compliance Manager / AML Officer, you will be responsible for contributing to the support and management of multiple compliance programs and functions that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for TAM, its mutual funds, ETFs, separately managed accounts (SMA)/retail wrap accounts, collective investment trusts, and associated service providers. In addition, the position will lead and maintain a robust anti-money laundering program and lead oversight of service providers for TAM’s suite of mutual funds.

Responsibilities

• Contribute to review and development of policies and procedures related to the funds and TAM’s products and services.
• Provide structured compliance oversight of Transfer Agent and other service providers to TAM’s products.
• Serve as primary administrator of TAM’s Joint Code of Ethics.
• Lead and maintain anti-money laundering program and oversight framework for investment companies.
• Oversee cross-departmental issue resolution team process, serving as primary escalation point.
• Lead and maintain email supervision system and process.
• Provide compliance review as subject matter expert of relevant adviser and fund marketing materials and social media posts.
• Serve as subject-matter expert on assigned compliance-related matters.
• Participate in governance committees, as applicable.
• Develop and maintain relationships with internal business partners, sub-adviser firms, and key service providers.
• Provide leadership and direction across departments to ensure alignment of compliance goals and positions.

Qualifications

• Bachelor’s or advanced degree(s), designation(s), or equivalent experience.
• Experience with anti-money laundering programs and expertise in regulatory compliance, risk assessment, transaction monitoring, and fraud prevention.
• Minimum 8 years of progressive mutual fund and investment adviser compliance experience.
• Knowledge and understanding of Investment Company and Investment Advisers Acts and associated rules and regulations.
• Excellent written and verbal communication skills.
• Superb critical-thinking and problem-solving skills.
• Advanced analytical, interpretive, and organizational skills.
• Ability to lead and manage select components of fund and adviser compliance programs.
• Proficient with all Microsoft Suite applications (Outlook, Excel, Word, etc.).
• Familiarity with Office 365 and associated applications.

Preferred Qualifications

• Experience as an AML Officer.
• Securities designations or compliance designations.
• Ability to comprehend complex issues.
• Adaptability and flexibility.
• Comfortable engaging various technologies.
• Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs and best practices.
• Broad exposure to various investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.
• AI tool experience and familiarity; application to business use cases.

Compensation

The salary for this position generally ranges between $135,000 - $159,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, the position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

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 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