Lead Compliance Analyst - Advisory

Compliance Program Support

As a key member of the Compliance department, help strengthen the effectiveness of the firm's investment advisory compliance program by supporting regulatory oversight, compliance risk management, and compliance initiatives designed to mitigate legal, regulatory, operational, and reputational risk. Apply advanced knowledge of the Investment Advisers Act of 1940, fiduciary obligations, and SEC regulatory requirements to independently perform complex compliance activities, identify emerging risks, recommend practical solutions, and support the ongoing enhancement of the firm's compliance program.

Responsibilities

• Serve as a lead resource for assigned advisory compliance programs, regulatory initiatives, monitoring activities, and compliance projects, including regulatory oversight, risk assessment, and policy implementation for advisory programs, products, and services.
• Interpret and assess the impact of new and existing SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the firm's advisory business.
• Support the maintenance and ongoing enhancement of the firm's compliance program, including policies and procedures, Code of Ethics, compliance testing, monitoring activities, risk assessments, and regulatory documentation.
• Coordinate the preparation, review, and maintenance of regulatory disclosures including Form ADV Parts 1, 2A, 2B brochure supplements, 13F, and 13H.
• Identify regulatory risks, conflicts of interest, control gaps, trends, and process improvement opportunities; prepare reports and recommend practical solutions to strengthen compliance oversight; assist in the implementation of solutions as necessary.
• Provide compliance guidance and support to business partners, financial professionals, and firm personnel regarding advisory compliance requirements, fiduciary responsibilities, SEC regulations, and firm policies.
• Collaborate with Legal, Operations, Product, Supervision, Compliance, and business partners to support compliant implementation of new products, services, operational changes, and strategic initiatives.
• Support regulatory examinations, audits, inquiries, investigations, and information requests by coordinating documentation collection, performing analyses, assisting with responses, and supporting remediation activities.
• Participate in initial and ongoing due diligence reviews of advisory products, programs, third-party service providers, and investment platforms to help ensure appropriate disclosures, agreements, and oversight.
• Assist with the development and delivery of compliance training, regulatory communications, educational resources, and knowledge sharing for financial professionals, as well as analysts and other team members.
• Complete additional tasks, special projects, and compliance-related initiatives as assigned.

Qualifications

• Bachelor's degree?in business, finance, or other relevant?field, or equivalent education and experience.
• Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or other relevant experience
• Experience in advisory compliance supporting compliance programs, compliance testing, regulatory examinations and compliance risk assessments.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC rules and regulations applicable to registered investment advisers, and fiduciary obligations.
• Knowledge of advisory products, investment management services, advisory fee arrangements, and related regulatory requirements.
• FINRA Series 7, 24, and 65/66 licenses, or ability to obtain required licenses within a specified timeframe.
• Excellent written and verbal communication skills, including the ability to communicate regulatory requirements and compliance expectations to diverse audiences.
• Ability to research, analyze, and interpret complex regulatory requirements and assess business impacts.
• Proficiency with Microsoft Office applications, advanced Excel and PowerPoint skills.

Preferred Qualifications

• Experience supporting Form ADV preparation and maintenance.
• Experience supporting SEC filings including Form 13F and 13H.
• Experience participating in SEC examinations and remediation activities.
• Strong analytical, critical thinking, problem-solving, and organizational skills.
• Ability to independently manage multiple priorities, deadlines, projects, and regulatory initiatives.

Working Conditions

Hybrid office environment (Tuesday, Wednesday, Thursday)

Locations: Denver, Cedar Rapids, Philadelphia, Baltimore

Compensation

The Salary for this position generally ranges between $90,000.00 - $100,000.00 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance 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

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica's Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. ?

* As of December 31, 2023