Compliance Manager ​/ AML Officer - Transamerica Asset Management

Job Family Regulatory Compliance

About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

We’re empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms.

Transamerica is organized into three distinct businesses. These include
1) World Financial Group, including Transamerica Financial Advisors,
2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and
3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.
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As the Compliance Manager / AML Officer, you will be responsible for leading and maintaining a robust anti-money laundering program and leading oversight of service providers for TAM’s suite of mutual funds. In addition, the position will contribute 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.

• 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,…