Senior Compliance Officer - Aegon AM

* 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.
* Bachelor’s 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.
* 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, Comply Sci) is strongly preferred.
* Experience with sanctions/PEP/AML screening tools (e.g., Fin Scan Focus, Dow Jones sanctions lists), post-trade compliance monitoring systems (e.g., ACA Compliance Alpha (Decryptex)), electronic communications surveillance systems (e.g., ProofPoint) is a plus.
* Pension Plan
* 401k Match
* Employee Stock Purchase Plan
* Tuition Reimbursement
* Disability Insurance
* Medical Insurance
* Dental Insurance
* Vision Insurance
* Employee Discounts
* Career Training & Development Opportunities##
** 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.…