Compliance Manager – AML Officer

Job not on LinkedIn

🔥 9 minutes ago

⛰️ Colorado, Iowa, +1 more states – Remote

⛰️ Colorado – Remote 🌾 Iowa – Remote 🦀 Maryland – Remote

💵 $135k - $159k / year

⏰ Full Time

🟠 Senior

🔴 Lead

🚨 AML and Financial Crime

👻 Ghost score 0%

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Aegon Asset Management

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

🛡️ Insurance

💸 Finance

Insurance • Finance • Investment

Aegon Asset Management is a global investment firm with a focus on active asset management. They manage and advise on assets totaling over USD 361 billion and serve a diverse clientele, including pension plans, public funds, insurance companies, banks, wealth managers, family offices, and foundations. The firm organizes its investment capabilities around four global platforms: Fixed Income, Real Assets, Equities, and Multi-Asset & Solutions. Aegon Asset Management prides itself on offering in-depth research and active management across these platforms, with a commitment to delivering effective risk management and optimizing investment solutions for its clients.

📋 Description

• Contribute to reviewing and developing policies and procedures related to funds and TAM products and services • Provide structured compliance oversight of Transfer Agent and other service providers • Serve as primary administrator of TAM’s Joint Code of Ethics • Lead and maintain the anti-money laundering program and oversight framework for investment companies • Oversee the cross-departmental issue resolution team process and serve as primary escalation point • Lead and maintain the email supervision system and process • Provide compliance review as subject matter expert for adviser and fund marketing materials and social media posts • 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 align compliance goals and positions

🎯 Requirements

• 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 Microsoft Suite applications, including Outlook, Excel, and Word • Familiarity with Office 365 and associated applications • Preferred: Experience as an AML Officer • Preferred: Securities designations or compliance designations • Preferred: Ability to comprehend complex issues • Preferred: Adaptability and flexibility • Preferred: Comfort engaging various technologies • Preferred: Extensive knowledge, understanding, and application of Investment Company and Investment Advisers Acts and associated rules and regulations, programs, and best practices • Preferred: Broad exposure to investment adviser products, including exchange-traded funds, separately managed accounts, and private funds • Preferred: AI tool experience and familiarity; application to business use cases

🏖️ Benefits

• Annual bonus based on the Company Bonus Plan/Individual Performance • Pension Plan • 401k Match • Employee Stock Purchase Plan • Tuition Reimbursement • Disability Insurance • Medical Insurance • Dental Insurance • Vision Insurance • Employee Discounts • Career Training & Development Opportunities • Paid Time Off starting at 160 hours annually for employees in their first year of service • Ten (10) paid holidays per year • Be Well Company holistic wellness program, including Wellness Coaching and Reward Dollars • Parental Leave – fifteen (15) days of paid parental leave per calendar year for eligible employees with at least one year of service • Adoption Assistance • Employee Assistance Program • College Coach Program • Back-Up Care Program • PTO for Volunteer Hours • Employee Matching Gifts Program • Employee Resource Groups • Inclusion and Diversity Programs • Employee Recognition Program • Referral Bonus Programs