Senior Compliance Officer - Aegon AM at Acadian Asset Management

Cedar Rapids, Iowa, United States

Apply Now

Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Investment Management, Financial ServicesIndustries

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

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

Skills

SEC Compliance

Code of Ethics

Personal Trading

Conflicts of Interest

Gifts & Entertainment

Outside Business Activities

Political Contributions

Pay-to-Play

Anti-Money Laundering

AML

Sanctions

Compliance Surveillance

Forensic Testing

Risk Management

Regulatory Compliance

Acadian Asset Management

Global investment management using quantitative strategies

About Acadian Asset Management

Acadian Asset Management specializes in quantitative investment strategies, using mathematical models and data analysis to guide their investment decisions. They primarily serve institutional clients, such as pension funds and foundations, and focus on equities and other asset classes in both developed and emerging markets. Their systematic approach employs computer algorithms to analyze large amounts of financial data, helping to identify investment opportunities and manage risks effectively. This method aims to achieve higher returns compared to traditional investment strategies. Acadian generates revenue through management fees based on assets under management and performance fees linked to investment success. Additionally, they prioritize corporate social responsibility, engaging in community initiatives and promoting diversity, equity, and inclusion within their organization. Their goal is to deliver superior investment performance while positively impacting the community.

Boston, MassachusettsHeadquarters

1986Year Founded

VENTURE_UNKNOWNCompany Stage

Quantitative Finance, Financial ServicesIndustries

201-500Employees

Benefits

Hybrid Work Options

Professional Development Budget

Risks

Competition from firms like Two Sigma could erode Acadian's market share.

Passive investing trends threaten Acadian's active management model.

Regulatory scrutiny on algorithmic trading may impact Acadian's operations.

Differentiation

Acadian uses sophisticated analytical models for active stock selection.

Their proprietary database covers over 40,500 securities in 100+ markets.

Acadian offers customized investment management solutions for institutional clients.

Upsides

Increased interest in ESG investing aligns with Acadian's sustainability commitment.

AI-driven strategies enhance Acadian's quantitative model capabilities.

Growing demand for customized solutions benefits Acadian's tailored services.

Land your dream remote job 3x faster with AI

Try Jobo Free