Senior Mutual Fund Attorney

Full time
Legal
Denver
Transamerica

The people of Transamerica bring expertise, creativity, diverse thought and heart to everything that we do-and to the communities where we live and work

We have an opening in our legal department for a Senior Mutual Fund Attorney. If you are a results oriented attorney who is a subject matter expert on investment company products and related matters, and you have proven experience aligning diverse teams to achieve a common goal, we would like to speak with you.

Advise senior management and key business group clients on legal issues arising out of the ongoing operations of the Transamerica Funds Complex, Transamerica Asset Management (TAM), and related service providers and help ensure these activities are conducted in compliance with all applicable laws and regulations.   Analyze issues and provide guidance to ensure compliance with all applicable rules and regulations affecting these entities.

Performance Objectives

  • Work effectively with business groups, cross-functional teams and fund service providers in the development and management of investment companies (mutual funds and ETFs), collective investment trusts and other advisory services offered by TAM.
  • Serve as senior fund attorney with the ability to effectively manage and/or mentor attorneys and paralegals. 
  • Advise registered investment company board of trustees regarding legal and regulatory requirements.
  • Prepare and review board materials and minutes and coordinate the corporate governance process for the Transamerica Funds complex.
  • Prepare and review registration statements, periodic reports, proxy statements and other related filings.  Handle other disclosure related matters.
  • Work closely with Compliance team to manage and coordinate responses to regulatory exams and inquiries.
  • Update and review Form ADV.
  • Participate in valuation matters, as necessary.
  • Respond to subpoenas, third party claims and litigation issues in coordination with other relevant departments.
  • Negotiate and review contracts and agreements, including investment advisory agreements, sub-advisory agreements, expense limitation agreements, transfer agent agreements, underwriting agreements and third-party service provider agreements.
  • Closely coordinate with compliance team in drafting and reviewing comprehensive compliance policies and procedures for the Transamerica Funds, TAM and related service providers.

Required Skills and Demonstrated Behaviors

  • Excellent interpersonal and communication skills; experienced manager and leader with a collaborative team-oriented approach.   
  • Excellent management and organizational skills; Ability to handle competing demands and priorities.
  • Accomplished attorney with superior knowledge of related laws and regulations, minimum of 11 years of financial services legal experience preferred.
  • Strong problem solving skills.
  • Strategic, big picture thinker who understands, appreciates and can appropriately balance legal and business objectives.
  • Ability to exercise independent informed and considered judgment with minimal supervision.
  • Manage high pressure situations and provide optimum customer service in a professional manner.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Ability to influence strategic direction, complete complex assignments and provide comprehensive solutions to complex problems.

Company information

Why Work for Us
Total Rewards at Transamerica: It’s more than a paycheck. Our comprehensive Total Rewards package is designed to help support you in many ways — throughout all stages of your life and career.  We provide a competitive, market-driven program that encompasses base compensation, bonus potential, retirement, health and wellness benefits, learning and development opportunities, plus great employee perks.  All designed with you in mind… to help you live your best life, grow personally and professionally - and feel valued for the work you do.

Learn more about our Total Rewards Package.

Equal Opportunity Employer:
Transamerica Life Insurance Company is an Equal Employment Opportunity employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws. 

 

AEGON USA Realty Advisors, LLC, is an Equal Employment Opportunity/ Affirmative Action Employer and does not discriminate against any applicant or employee because of age, religion, sex, gender identity, genetic information, race, color, national origin, pregnancy, sexual orientation, marital status, participation in the uniformed services (e.g. U.S. Armed Forces, National Guard), physical or mental disability, or any other status protected by federal, state, or local equal employment opportunities laws.

 

Applicants with physical or mental disabilities may be entitled to a form of reasonable accommodation under the Americans with Disabilities Act and certain state and local laws. A reasonable accommodation is a change in the way things are normally done which will insure equal employment opportunity without imposing undue hardship on the Transamerica Companies. If you are a job seeker with a disability, or are assisting someone with a disability, and require assistance to apply for one of our jobs, please contact: applicantsupport@transamerica.com.

 

Technical Assistance:

If you experience technical problems during the application process, please email applicantsupport@transamerica.com.