Job Description
Job Description Summary
Aegon Asset Management (Aegon AM) is a leading global investor. Our 370 investment professionals manage and advise on assets of US $361 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 1,150 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 The Portfolio Compliance Analyst position sits within the US Portfolio Risk Control team, which is part of the Risk and Compliance function. The Portfolio Risk Control team is responsible for ensuring we maintain compliance with investment guidelines, risk policies and regulations. This position will be responsible for the monitoring and reporting of investment holdings against investment guidelines and risk policies, proactive and effective communication with internal parties, and collaborative resolution of business issues. The successful candidate will be brought in at entry or intermediate level, based on qualifications and experience. See required qualifications detailed below.
Responsibilities Job Description - Interpret investment management guidelines and assist business units in establishing processes to comply with code compliance rules within the compliance platform and trading system.
- Perform the testing and change management process to ensure accuracy of the compliance rules.
- Prepare monthly reports, compile and evaluate data from multiple sources.
- Understand the flow of information and how the information is utilized and use that knowledge to verify the integrity of the data and integrity of the compliance rules.
- Identify areas of compliance improvement and imminent changes/modifications of current compliance rules.
- Partner with the compliance leader to coordinate corrective action for regulatory violations and other issues impacting the business.
- Assist in preparation of responses to various audits, compliance questions or Senior Leader requests.
- Interact with business units including Investment Legal, Compliance, Front Office, and other investment partners on various compliance related issues and projects.
- Work with team members on accomplishing shared/departmental goals as outlined by Manager.
Required Qualifications Portfolio Compliance Analyst: - Bachelor’s degree in accounting, finance, or related field.
- Strong analytical, problem recognition and resolution, data mining, organizational, and communication skills with strong attention to detail and accuracy.
- Ability to work both independently and in a team environment to work effectively with other members of PRC and other investment partners in the organization.
- Strong in both oral and written communication.
- Strong customer service skills, with a focus on continuous improvement.
Intermediate Portfolio Compliance Analyst - Bachelor’s degree in accounting, finance, or related field.
- Two years of experience in the institutional securities industry or asset management industry (preferably within the compliance related functional areas).
- Working knowledge of fixed income and other investment instruments, insurance contracts, and the valuation methodologies of different investment types.
- Working knowledge and general understanding of investment products, legal, regulatory, and accounting principles which directly affect the securities industry and their clients.
- Demonstrated ability to interpret investment management guidelines and assist business unit in establishing processes to comply.
- Strong analytical, problem recognition and resolution, data mining, organizational, and communication skills with strong attention to detail and accuracy.
- Ability to work both independently and in a team environment to work effectively with other members of PRC and other investment partners in the organization.
- Strong in both oral and written communication.
- Strong customer service skills, with a focus on continuous improvement.
- Process improvement experience preferred.
- Strong computer skills, including proficiency with Microsoft Excel/Access.
Preferred Qualifications - Working knowledge of BlackRock Aladdin.
Job and compensation levels depend upon an applicant’s qualifications including the extent of candidate’s 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. We are open to considering flexible working practices. Please talk to us about what this means for you. 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: applicantsupport@aegonusa.com 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 applicantsupport@aegonusa.com.
Job Tags
Full time, Local area, Flexible hours,