Aegon Asset Management

Operations

• Managing the timely and accurate confirmation and settlement of securities and loan trades
• Providing oversight for outsourced operational activities
• Supporting projects involving trade data within enterprise-wide system(s)
• Can fulfill all trade operations responsibilities with a focus on owning complex issues through to resolution
• Acts as point person for the team on escalated issues

Senior Trade Operations Analyst

Auditor

• Manages and participates in audit fieldwork to identify controls, assess control design, testing controls and concluding on the control environment.
• Assist in the planning, performance and reporting of audit assignments.
• Conduct interviews with client personnel and perform walk-throughs to evaluate controls.
• Create flowcharts, write narratives and conclude on controls based on information obtained through interviews with clients.
• Review deliverables by other auditors to ensure quality standards are met.
• Identify and escalates potential problems to the auditor-in-charge.
• Prepare audit observations and make practical, value-added recommendations to improve the business risk profile, enhance management practices and increase efficiency/effectiveness of operations.
• Direct and train entry and intermediate auditors on audit engagements.
• Manage data privacy risks and ensure compliance with company policy regarding the processing of personal and/or other sensitive data.

Senior Auditor

Compliance

• 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.

Senior Compliance Officer

Risk

• Perform technical reviews of plans, specifications, drawings, Property Condition Assessments (PCA), Seismic Risk Assessments (SRA), Capital Needs Assessments (CNA), ALTA surveys, construction plan & cost reviews, construction progress monitoring reports, and contractor pay applications
• Reconcile technical and financial aspects of construction draw reviews to ensure work and costs are documented
• Understand and monitor critical issues for construction activities such as cost overruns, construction schedules, change orders, and construction delays
• Perform seismic risk assessment analysis, hurricane risk analysis, and other risk assessments related to climate change
• Support implementation of investor-driven energy efficiency and sustainability initiatives
• Collaborate with internal asset management teams, external borrowers, and developer clients to support review of construction, inspection, and other activities
• Occasional travel required to visit sites

Construction Risk Analyst

Analyst

• Responsible for evaluating and structuring private placements
• Provide ongoing monitoring of an assigned portfolio of private placement credits
• Assist Team Leader in completing projects requested by Senior Management, Portfolio Managers and Clients

Senior Private Placement Analyst

Director

• Prepare investor templates and pitchbooks for previewing potential investments with sophisticated LIHTC proprietary, multi-fund, and state tax credit investors
• Coordinate with the Production team to ensure accurate information is transmitted in a format that is appropriate for each investor
• Manage investor consent requests from Asset Management including review of request memos from an investor lens, coordination with various internal teams, and timely communication with investors
• Manage investor requests regarding quarterly and annual reporting, tax/audit documents, Know Your Customer requests, syndicator reviews and other ad-hoc requests
• Communicate with existing and new investors to assess current needs
• Support internal steering committee presentations
• Research and disseminate current tax credit industry information including legislative updates, investor CRA assessment areas, federal and state tax credit updates and other information
• Support review of investor partnership agreements for existing and new funds
• Manage investor due diligence requests during the marketing and fund closing process, including: Working with Production and Fund Management teams to address any discrepancies between provided underwriting and investor requirements
• Track timelines for diligence and closing to achieve alignment between internal and external expectations
• With the relationship manager’s guidance, communicate effectively with the investor about the closing process and due diligence materials provided
• With the relationship manager’s guidance, review closing benefits schedules to ensure they are meeting AAM and investor expectations
• Work with the investor to utilize approved share file sites to transmit diligence in an organized manner
• Track investor questions, delegate to appropriate internal parties and ensure responses are provided in a timely manner

Associate Director, LIHTC Investor Relations

• Run and assist in the development of financial reports and complex models for forecasting, trending, and results analysis
• Reconcile reporting results to tax actuals and participate in peer review of report and model outputs
• Support new business by completing fund pricing runs and analysis with Investor Relations and Acquisitions staff
• Review and interpret LLC agreements and other legal documents for terms related to fund management
• Participate in accounting processes to ensure accuracy and completeness of financial records
• Interpret financial transactions and events for users
• Support client needs including client performance reporting and scenario testing; provide updates to internal team members
• Identify solutions for more efficient methods of gathering, sorting, and accessing data
• Adhere to internal controls, compliance and regulatory policies and procedures
• Support operational client service experience in partnership with client service, portfolio management, and product management
• Determine appropriate methodology to prepare information for use by others within the Firm and by clients

Senior Analyst, LIHTC Fund Management

General Counsel

• Lead negotiation and preparation of commercial loan applications, loan documents, and loan modification documents.
• Communicate with and respond to internal loan officers, asset managers, analysts, and other business team members regarding commercial real estate loan matters, including new loans, loan servicing matters, and problem loans.
• Supervise and review work product of outside counsel in connection with commercial real estate loan closings, workouts, foreclosures, and other litigation.
• Work on complex problems where analysis requires identification and evaluation of multiple factors and that impact significant areas of the company.
• Provide a variety of general legal services to different in-house constituents, including within the legal and compliance departments.
• Coordinate with various internal clients (across different offices), borrowers, and both in-house and outside counsel regarding multiple matters and projects to meet deadlines and efficiently manage processes.
• Identify, analyze, review, and resolve issues by evaluating a variety of factors and exercise of legal judgment commensurate with experience.
• Review and interpret legal documents for validity, content, accuracy, and compliance with procedures.
• Exercise independent judgment regarding legal advice with limited supervision from a more senior attorney.
• Participate in and may lead departmental and cross-functional working groups in identified areas of legal expertise or development.
• Develop template agreements, select from pre-approved options in template contracts, and suggest changes to templates as needed; conduct legal research; manage litigation or regulatory actions of moderate complexity, including workouts, foreclosures, responding to discovery requests and subpoenae; review and approve certain customer correspondence (e.g., letters, advertising); prepare training for managers; and other activities to support business groups.