Compliance Manager – AML Officer

This is a fully remote position, open to applicants in Colorado, +2 more states.

📋 Description

• Assist in reviewing and crafting policies and procedures related to funds and TAM products and services.

• Deliver structured compliance supervision of Transfer Agent and other service providers.

• Act as the primary administrator of TAM’s Joint Code of Ethics.

• Spearhead and uphold the anti-money laundering program and oversight framework for investment companies.

• Manage the cross-departmental issue resolution team process and serve as the main escalation point.

• Oversee and maintain the email supervision system and its associated processes.

• Provide compliance reviews as a subject matter expert for adviser and fund marketing materials as well as social media postings.

• Serve as a subject-matter expert on designated compliance-related topics.

• Engage in governance committees as required.

• Build and sustain relationships with internal business partners, sub-adviser firms, and important service providers.

• Offer leadership and direction across departments to align compliance objectives and positions.

⛳️ Requirements

• Bachelor’s degree or advanced degree(s), designation(s), or equivalent experience.

• Experience with anti-money laundering programs, along with expertise in regulatory compliance, risk assessment, transaction monitoring, and fraud prevention.

• At least 8 years of progressive compliance experience in mutual funds and investment advisers.

• Knowledge and comprehension of the Investment Company and Investment Advisers Acts, along with associated rules and regulations.

• Exceptional written and verbal communication skills.

• Outstanding critical-thinking and problem-solving abilities.

• Advanced analytical, interpretive, and organizational capabilities.

• Capacity to lead and manage select aspects of fund and adviser compliance programs.

• Proficient in Microsoft Suite applications, including Outlook, Excel, and Word.

• Familiarity with Office 365 and related applications.

• Preferred: Experience serving as an AML Officer.

• Preferred: Securities or compliance designations.

• Preferred: Ability to understand complex issues.

• Preferred: Flexibility and adaptability.

• Preferred: Comfort with various technologies.

• Preferred: Extensive knowledge, comprehension, and application of the Investment Company and Investment Advisers Acts, associated rules and regulations, programs, and best practices.

• Preferred: Broad exposure to investment adviser products, including exchange-traded funds, separately managed accounts, and private funds.

• Preferred: Experience with AI tools and their application to business use cases.

🏝️ Benefits

• Annual bonus based on the Company Bonus Plan/Individual Performance.

• Pension Plan.

• 401k Match.

• Employee Stock Purchase Plan.

• Tuition Reimbursement.

• Disability Insurance.

• Medical Insurance.

• Dental Insurance.

• Vision Insurance.

• Employee Discounts.

• Opportunities for Career Training & Development.

• Paid Time Off starting at 160 hours annually for employees in their first year of service.

• Ten (10) paid holidays annually.

• Be Well Company holistic wellness program, featuring Wellness Coaching and Reward Dollars.

• Parental Leave – fifteen (15) days of paid parental leave per calendar year for eligible employees with a minimum of one year of service.

• 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.