Lead Compliance Officer Aegon AM
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Job Location:
Cedar Rapids, IA - USA
Monthly Salary:
Not Disclosed
Posted on:
2 days ago
Vacancies:
1 Vacancy
Job Summary
Job Description Summary
Aegon Asset Management (Aegon AM) is a leading global investor. Our 350 investment professionals manage and advise on assets of US $384 billion for a global client base of pension plans public funds insurance companies banks wealth managers family offices and foundations.We organize our firm around four investment platforms: fixed income real assets equities and multi-asset & solutions which includes a fiduciary and multi-manager business. Each investment platform has dedicated teams with deep asset-class expertise organized globally and committed to maximizing client benefit from their specialist areas.
We are an international business: Our 1125 employees work from 14 locations across Europe the Americas and Asia. We share a common belief in fundamental research-driven active management underpinned by effective risk management and a commitment to responsible investment.
Position Overview:
Administers areas of assigned compliance responsibilities to support Aegon Asset Management (Aegon AM) U.S. compliance programs. The role involves serving as lead subject matter expert for certain core investment adviser compliance functions focusing on investment and trading activities addressing regulatory and compliance risks to ensure adherence to regulatory requirements client expectations and industry standards.
Job Description
Responsibilities:
- Leadand administer assigned compliance policies and procedures related to portfolio management trading practices insider trading electroniccommunications and otherareasutilizingcompliance surveillance and other systems as applicable. Maintain policiesin accordance withSEC regulations and consistent with business practices.
- Perform risk assessments surveillance monitoring forensictestingand data analysistoidentifyand addresscompliance issues policy and procedure violations andconflicts of interest. AdviseChief Compliance Officerof risks and gapsrecommendand leadcorrective actions.
- Leadcompliance oversight of trade execution aggregation and allocation practices trade errors brokeragepracticesand broker approvals among other items including oversight of Front Officeprocesses and procedures.
- Partner with Portfolio Management Trading Investment Management Operations TradeOperationsand other functions such as Portfolio Risk Control Legal etc. on identification and resolution of compliance matters and risk mitigation.
- RepresentComplianceteam in meetings and committees including the best execution committee liquidity riskoversightcommittee and others as assigned.
- Supportinsider trading compliance including oversight of Material Non-Public Information (MNPI) controls restricted securities and watch lists and employee training.
- Provide management reporting administer responses to client inquiries RFPs and due diligence questionnaires compileinformation for regulatory examinations.
- Provide advice and guidance related to assigned policies and compliance topics and new investment products or strategies; administer employee trainingon regulatory compliance matters.
- Research and interpret regulatory requirements and compliance best practices to inform policy and procedure updates and control enhancements.
Required Qualifications:
- Bachelorsdegreein business or related field or equivalent education and experience.
- At least eight years of relevant work experience in the investment management industry or equivalent professional experience.
- Solid academic background with strong quantitative/analytical skills.
- Experience inhighlyautomated 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 withabilityto multi-task deliverables in afast pacedenvironment.
- Strong senseof accountability with a drive for results.
- Professional maturity and ability to be discreet in working withhighly sensitiveinformation.
Preferred Qualifications
- Understandingofrelevant regulatory requirements including theInvestment Advisers Act of 1940 andInvestmentCompany Act of 1940.
- Working knowledge of investment products and strategies across multiple asset classes and portfolio managementactivitiesfrom prior experience at an investment advisory firm.
- Familiarity with compliance technologies (e.g. ACAComplianceAlpha(Decryptex) for post-trade surveillance) trade order management systems (e.g. BlackRock Aladdin) BloombergTerminal Bloomberg Vault.
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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Why Work for Us
At Aegon Asset Management we invest in You.
Our people are our greatest asset; with a competitive rewards program including incentive compensation health and wellness benefits retirement programs and learning and development opportunities our employees are engaged and empowered. Come be a part of driving our success!
Equal Opportunity Employer:
AEGON USA Realty Advisors LLC is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age religion sex gender identity genetic information race color national origin pregnancy sexual orientation marital status participation in the uniformed services (e.g. U.S. Armed Forces National Guard) physical or mental disability or any other status protected by federal state or local equal employment opportunities laws.
Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Aegon Companies. Please contact: if you are a job seeker with a disability or are assisting someone with a disability and require assistance to apply for one of our jobs.
Technical Assistance:
If you experience technical problems during the application process please email .
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
