Compliance Manager / AML Officer
Job Summary
As a full-time Compliance Manager / AML Officer, the successful candidate will manage compliance programs and functions to prevent and resolve potential violations of federal securities laws while leading a robust anti-money laundering program and overseeing service providers for investment products, with the flexibility to work remotely.
Key responsibilities
- Contribute to the development and review of compliance policies and procedures for funds and products
- Provide compliance oversight of Transfer Agent and other service providers associated with TAM's offerings
- Lead and maintain the anti-money laundering program and oversee the email supervision system
Required qualifications
- Bachelor's or advanced degree(s), designation(s), or equivalent experience
- Minimum 8 years of progressive mutual fund and investment adviser compliance experience
- Experience with anti-money laundering programs and regulatory compliance
- Knowledge of Investment Company and Investment Advisers Acts and associated regulations
- Proficient with Microsoft Suite applications and familiarity with Office 365
Complete Job Description
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