Regulatory Specialist I conducting regulatory activities for health care facilities across Florida. Prepares reports, manages files and provides support for QA reviews in the agency.
About the role
- Senior Compliance Officer managing investment adviser compliance functions within Aegon Asset Management. Overseeing policies, regulations, and compliance across the firm.
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.
Requirements
- 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.
Benefits
- 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 (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
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