Director Compliance, Mutual Funds

Transamerica

Industry
Workhours
Responsibilities

Job Family

Compliance - General

Job Description Summary

Assist Chief Compliance Officer, in ensuring, maintaining and monitoring the division's' compliance with applicable federal and state legal requirements, regulations and the rules of self-regulatory organizations and Company/Division Compliance Policies.

Job Description

  • Helps to manage all of the division's Compliance functions (e.g. ’40 Act – 38a-1, Advisers Act – 206(4)-7, CFTC/NFA, UCITS, ETF) in one or multiple locations with minimal supervision.

  • Develops and assists in the preparation of reports for the Chief Compliance Officer, Enterprise Compliance Officer or Division General Counsel and/or corporate management concerning Investment Company and Investment Adviser Compliance  issues and activities.

  • Assists the Chief Compliance Officer and/or appropriate Operational Risk Management in assessing the division’s Compliance risks and prepares  reports to division and Corporate management as may be appropriate concerning such risks.

  • Directs and assigns projects and provides guidance to Senior Managers,  Managers and other Compliance staff, as appropriate, to improve the efficiency of the department and of the division's Compliance procedures.

  • Develops and updates service provider oversight and monitoring programs

  • Manages highly complex Compliance matters with minimal supervision.

  • Develops, maintains and updates Compliance policies and procedures for multiple functions and/or locations.

  • Recommends and develops corrective action or revisions to the divisions' policies and procedures based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends as appropriate.

  • Works with multiple functions, units or locations of the division/business unit to develop cost-effective and common solutions to achieve regulatory compliance on a division-wide basis.

  • Represents the company on industry committees and Compliance on company wide projects regarding various regulatory issues.

  • Assists in evaluating overall Compliance Risk factors.

  • Assists with regulatory examinations, corporate audits, and Internal audits.

  • Assists with various regulatory required filings.

Qualifications

  • Bachelor’s degree required.

  • 10 or more years of Compliance experience required with a large and diverse Investment Company organization, with at least 3 years experience in compliance functions at a supervisory or management level.

Preferred qualifications

  • Experience drafting and testing compliance procedures.

  • Strong project management skills.

  • Ability to provide leadership in managing and achieving compliance project goals.

  • Advanced understanding of ’40 Act, Advisers Act, ETF, UCITS, and NFA regulations and industry best practices.  

Behavioral & Leadership Competencies

  • Excellent interpersonal skills.

  • Excellent oral and written communication skills. 

  • Provide leadership in achieving project goals.

Our Culture

At Transamerica we promote a Future Fit mindset. What is a Future Fit mindset?

  • Acting as One fosters an environment of positive collaboration

  • Accountability allows us to own the problem as well as the solution

  • Agility inspires new ideas, innovation and challenges the status quo

  • Customer Centricity encourages an above and beyond approach to our customer

Working Conditions

  • Normal office conditions.

Why Work for Us

Total Rewards at Transamerica: It’s more than a paycheck.

Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career.  We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks.  All designed with you in mind… to help you live your best life, grow personally and professionally - and feel valued for the work you do.

Learn more about our Total Rewards Package.

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: applicantsupport@transamerica.com 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.

Technical Assistance:

If you experience technical problems during the application process, please email applicantsupport@transamerica.com.

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Confirmed 16 hours ago. Posted 30+ days ago.

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