Intermediate Compliance Analyst – AML – Aegon – Cedar Rapids, IA

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The Intermediate Compliance Analyst – AML helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. They possess and apply broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

What Success Looks Like:

  • Review current policies and procedures; identify and help to implement new and/or enhanced practices.
  • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
  • Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
  • Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
  • Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
  • Compile information for completion of reporting, including reports for management and state/federal regulators. Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.
  • Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)
  • Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
  • Update and maintaining complete and accurate policies, procedures, compliance logs or files.
  • Assist team members with research and assigned tasks, and provide training to supported teams.
  • Research and analyze reports, referrals and alerts for potential AML or fraud and determine whether to open or close a case. Conduct simple and more involved external and intermediary fraud and financial crimes investigations with direction from senior level staff.
  • Work with Operations to provide guidance on Sanctions program.
  • Provide AML, Sanctions and fraud compliance oversight as needed to ensure activities/transactions are consistently handled and/or referred.
  • Provide input on department processes and procedures; work with senior levels to implement changes.
  • Assist in more complex fraud and financial crimes investigations with other senior levels.
  • Coordinate annual reports and/or training for filing.
  • Assist in responding to regulatory inquiries with direction from senior levels.
  • Foster a culture of compliance to help prevent, detect and reduce company risk with respect to financial crime.

What You Need:

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
  • Two years of regulatory, securities, or advertising compliance experience.
  • Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
  • Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
  • Written and verbal communication skills.
  • Analytical and research skills.
  • Proficiency using MS Office tools.

What You Receive:

  • A Comprehensive Wealth + Health package. It’s our passion to empower people, and especially our employees, to add years to their lives and more life to their years. That means a healthy account balance and a healthy body to match. As you’ll come to discover, Wealth + Health is a central part of everything we do!
  • Wealth Benefits; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Stock Purchase Plan, Employee Discounts, Career Training & Development Opportunities, Certification Sponsorship
  • Health and Work/Life Balance Benefits; Be Well Company sponsored holistic wellness program which includes Wellness Coaching and reward dollars, Parental Leave, Adoption Assistance, Employee Assistance Program, College Coach Program, Back-up Care Program, Paid Time Off to Volunteer, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program

Our commitment to inclusion & diversity means that we value differences. We encourage the unique perspectives of individuals and are dedicated to creating a respectful and inclusive work environment.

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