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

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.