Compliance Manager – AML Officer

• Lead and maintain anti-money laundering program and oversight framework for investment companies.
• Provide structured compliance oversight of Transfer Agent and other service providers to TAM's products.
• 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 intermediary due diligence questionnaires and proposal requests.
• Contribute to review and development of policies and procedures related to the funds and TAM's products and services.
• 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.

• 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.

Demonstrates expertise in anti-money laundering programs and regulatory compliance, with a strong focus on investment company and adviser compliance. Proven ability to lead cross-departmental initiatives and develop effective compliance policies and procedures.

• Anti-Money Laundering Programs
• Regulatory Compliance
• Investment Company Act Knowledge
• Mutual Fund Compliance Experience
• Leadership and Direction

• Risk Assessment
• Transaction Monitoring
• Fraud Prevention
• Compliance Review
• Policy Development
• Critical Thinking
• Analytical Skills
• Organizational Skills

• Excellent Communication Skills
• Problem-Solving Skills

• Investment Advisers Act
• Compliance Oversight
• Governance Committees
• Intermediary Due Diligence

• Microsoft Suite
• Office 365