Lead Compliance Analyst - Transamerica Am

Transamerica Corporation

Base: $95,000 - $100,000 annually; bonus: eligible...
Hybrid
5 years regulatory securities compliance experience
Knowledge of investment company act 1940
Experience with subadviser oversight programs
This role supports the oversight of approximately 27 subadvisers across 96 mutual funds and ETFs while ensuring adherence to federal securities laws

Job Summary

  • This role supports the oversight of approximately 27 subadvisers across 96 mutual funds and ETFs while ensuring adherence to federal securities laws.
  • The position involves coordinating quarterly and annual Board reports, managing compliance questionnaires via the CENTRL platform, and assisting with subadviser onboarding and offboarding.
  • Transamerica offers a comprehensive benefits package including a pension plan, 401k match, paid parental leave, and a holistic wellness program.

Matching Summary

This role supports the oversight of approximately 27 subadvisers across 96 mutual funds and ETFs while ensuring adherence to federal securities laws.

Salary

Base: $95,000 - $100,000 annually; Bonus: Eligible for Annual Bonus based on performance; Benefits: Pension Plan, 401k Match, Medical/Dental/Vision Insurance

Skills & Requirements

Must-have

  • 5 years regulatory securities compliance experience
  • Knowledge of Investment Company Act 1940
  • Experience with subadviser oversight programs
  • Proficiency in MS Office tools
  • Strong organizational and research skills

Nice-to-have

  • Understanding of AI and machine learning principles
  • Experience with CENTRL due diligence platform
  • Ability to work collaboratively in diverse teams
  • Project management skills for compliance initiatives

Key Requirements

  • Bachelor's degree in business, marketing, pre-law or equivalent
  • Five years of regulatory or securities compliance experience
  • Significant knowledge of securities laws and regulations

Work Rights

Not specified

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