Senior Compliance Officer Aegon AM

Job Description Summary

Job Description

Responsibilities:

• Administer and manage implementation of the Code of Ethics (e.g. personal trading) Conflicts of Interest (e.g. Gifts & Entertainment Outside Business Activities etc.) Political Contributions (pay-to-play) Anti-Money Laundering (AML)/Sanctions and other related compliance policies and procedures utilizing compliance systems as applicable.

• Perform surveillance monitoring and forensic testing of policies to identify assess and address conflicts of interest potential violations and regulatory compliance issues. Advise manager of risks and gaps and recommend corrective actions.

• Administer employee compliance certifications and conflicts questionnaires review related disclosures/reporting and escalate items of interest as appropriate.

• Provide advice and guidance related to assigned policies administer employee training regarding regulatory compliance requirements and help foster culture of compliance across the firm.

• Manage routine and special projects including compliance monitoring system implementation and related procedures.

• Recommend enhancements to policies and procedures monitoring disclosures and risk mitigating controls demonstrating knowledge of applicable regulations and compliance best practices.

• Provide management reporting administer responses to client questionnaires compile information for regulatory examinations.

• Stay abreast of applicable regulatory changes assist with implementation of new regulatory requirements.

• Collaborate closely with team members to drive compliance program enhancements process and documentation improvements.

• Partner with internal stakeholders across the firm and other 2nd line functions (e.g. Risk) as appropriate with regards to risk identification and mitigation.

Required Qualifications:

• Bachelors degree in business or related field or equivalent education and experience.

• A minimum of five years of relevant work experience in the investment management industry or equivalent professional experience.

• Solid academic background with strong quantitative/analytical skills.

• Experience in a highly automated environment and/or high degree of comfort and fluency with computers and technology.

• Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.

• Attention to detail and organizational skills with the ability to multi-task deliverables in a fast-paced environment.

• Resilient sense of accountability with a drive for results.

• Professional maturity and ability to be discreet in working with highly sensitive information.

Preferred Qualifications:

• Experience at investment advisory firm with administration of Code of Ethics Conflicts of Interest and related policies and procedures as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.

• Experience with employee personal trading and conflicts management compliance systems (e.g. FIS ComplySci) is strongly preferred.

• Experience with sanctions/PEP/AML screening tools (e.g. FinScan Focus DowJones sanctions lists) post-trade compliance monitoring systems (e.g. ACA ComplianceAlpha (Decryptex)) electronic communications surveillance systems (e.g. ProofPoint) is a plus.

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**

The salary for this position generally ranges between $90000 - $120000 annually. This range is an estimate based on potential qualifications and operational needs. Salary may vary above and below the stated amounts as permitted by applicable law.

Additionally the position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Companys discretion.

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

• 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

Job and compensation levels depend upon an applicants qualifications including the extent of candidates relevant experience and other job-related factors and will be determined by hiring supervisors/managers and HR.

At Aegon Asset Management we are committed to fostering a diverse workforce and an inclusive culture. We are more than a global Asset Management firm we are a people business and we recognize that delivering excellent client outcomes comes from embracing diverse perspectives. We value diversity in the full range of human uniqueness without limitation including race gender ability language culture beliefs age origin background perspectives and experiences.

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