Compliance Manager, AML Officer

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

📋 Description

• Assist in the review and formulation of policies and procedures concerning funds and TAM products and services.

• Deliver structured compliance oversight for Transfer Agent and other service providers.

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

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

• Supervise cross-departmental issue resolution team processes and act as the main escalation contact.

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

• Conduct expert compliance reviews of adviser and fund marketing materials, as well as social media content.

• Serve as the subject-matter expert on designated compliance issues.

• Engage in governance committees, as relevant.

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

• Provide leadership and guidance across departments to ensure alignment of compliance objectives and positions.

⛳️ Requirements

• Bachelor’s degree or higher, relevant designations, or equivalent experience.

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

• A minimum of 8 years of progressive compliance experience in mutual funds and investment advisers.

• In-depth knowledge and understanding of the Investment Company and Investment Advisers Acts, along with related rules and regulations.

• Exceptional written and verbal communication skills.

• Outstanding critical-thinking and problem-solving capabilities.

• Advanced analytical, interpretive, and organizational abilities.

• Capacity to lead and manage specific elements of fund and adviser compliance programs.

• Proficient in all Microsoft Suite applications (Outlook, Excel, Word, etc.).

• Familiarity with Office 365 and its related applications.

• Preferred: Experience as an AML Officer.

• Preferred: Securities or compliance designations.

• Preferred: Ability to grasp complex issues.

• Preferred: Adaptability and flexibility.

• Preferred: Comfort in engaging with various technologies.

• Preferred: Extensive knowledge and application of the Investment Company and Investment Advisers Acts, along with related rules, 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.

• 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.

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

• Paid parental leave of fifteen (15) days per calendar year for eligible employees with at least one year of service.

• Adoption Assistance.

• Employee Assistance 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.