Lead Compliance Analyst - Transamerica AM

Position Overview

This Lead Compliance Analyst will support TAM’s sub‑advisory oversight program, overseeing approximately 27 sub‑advisers across 96 mutual funds and ETFs, and a number of Collective Investment Trusts (CITs). The analyst will report to the Head of Compliance Sub‑Adviser Oversight and support the Chief Compliance Officer with quarterly and annual reporting to the Fund Board, compliance reporting for TAM, and key administrative, project management, and leadership functions.

• Conduct oversight of sub‑advisers to ensure compliance with fund investment objectives, restrictions, sub‑adviser compliance policies and procedures, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Internal Revenue Code, and other applicable regulations and Board‑adopted Fund policies.
• Review the compliance policies, procedures, and operations of sub‑advisers in connection with the Board’s consideration and approval of sub‑advisory agreements.
• Assist in coordination of TAM Compliance’s annual sub‑adviser 15(c) advisory contract renewal process.
• Maintain and coordinate distribution of monthly, quarterly, annual, and ad‑hoc sub‑adviser compliance questionnaires in CENTRL.
• Review and analyze sub‑adviser responses in CENTRL and discuss potential issues with the Head of Compliance Sub‑Adviser Oversight for escalation.
• Serve as a liaison between TAM Compliance and CENTRL regarding system maintenance, issue support, monthly enhancement reviews, and reporting.
• Participate in monthly meetings with CENTRL to discuss open issue tickets, enhancement requests, and upcoming CENTRL enhancements.
• Assist with sub‑adviser onboarding and off‑boarding.
• Facilitate and coordinate preparation of quarterly and annual Board reports for the TAM Chief Compliance Officer, incorporating TAM and sub‑adviser policy updates.
• Maintain and publish TAM’s and the TAM Fund’s compliance policies and procedures library.
• Review and update standard operating procedures for assigned areas of responsibility.
• Track and perform key administrative and record‑keeping functions for regulatory exams.
• Assist with the development and maintenance of artificial intelligence use cases for TAM Compliance.
• Administer the TAM Compliance team calendar, training log, and annual resource assessment.
• Review daily personnel emails for communications that pose regulatory or reputational risk and escalated when necessary.
• Perform special projects as assigned.

• Bachelor’s degree in business, marketing, pre‑law, or other relevant field, or equivalent education and experience.
• Five years of regulatory or securities compliance experience.
• Significant knowledge of securities laws, rules, and regulations.
• Strong organizational and research skills.
• Strong cross‑team collaboration and project‑management skills.
• Proficient at prioritizing responsibilities and multitasking.
• Proficient written and verbal communication skills.
• Proficiency using MS Office tools.
• Driven towards exceeding expectations (deadlines, consideration of additional risks).
• Areas of experience desired may vary based on assigned compliance functions.

• Understanding of the governing principles for building and using Artificial Intelligence (AI), including generative AI, machine learning, and other advanced analytic technologies, and the parameters for utilizing AI outputs in support of position responsibilities.

Salary range: $95,000 – $100,000 annually. The position may also be eligible for an annual bonus based on the Company Bonus Plan and individual performance, and salary can vary above and below the stated range as permitted by applicable law.

• Competitive pay bonus for eligible employees.
• Pension plan.
• 401(k) match.
• Employee Stock Purchase Plan.
• Tuition reimbursement.
• Disability insurance.
• Medical insurance.
• Dental insurance.
• Vision insurance.
• Employee discounts.
• Health and work/life balance benefits, including paid time off starting at 160 hours annually for employees in their first year of service.
• Ten paid holidays per year (aligned with NYSE holidays).
• Be Well wellness program, which includes wellness…