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Senior Legal Analyst - 1940 Act

Posted Jan 16
Full Time
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Job Family

Legal Support

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential unleashed by leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Transamerica is a part of Aegon, an integrated, diversified, international financial services group. The Aegon companies employ over 21,500 people and have approximately 31.7 million customers.* For more information, visit

Who We Are

Transamerica has been making financial services available to the many, not just the few, for more than 100 years. We’re a leading provider of life insurance, retirement, and investment solutions, serving millions of customers throughout the United States. Transamerica’s dedicated professionals focus on helping people live their best lives through saving, investing, and protecting their loved ones. Transamerica is dedicated to building America’s leading middle market life insurance and retirement company, providing a broad range of quality individual life insurance policies, workplace supplemental insurance benefits, workplace retirement plans, individual retirement accounts, and investment products, including mutual funds, annuities, stable value solutions, as well as investment management services.

What We Do

Transamerica is organized by lines of business (Life Insurance, Annuities, Mutual Funds, Retirement Plans, and Employee Benefits), which are supported by Transamerica Corporate (Corporate Development; Finance; Internal Audit; Legislative, Regulatory & Policy; Office of the CEO; People and Places; Brand; Corporate Affairs; Risk; and Technology).

Job Description Summary

The Senior Legal Analyst will: (i) provide support to the Legal Department of Transamerica Asset Management, Inc. (“TAM”), an investment adviser registered with the US Securities and Exchange Commission under the Investment Advisers Act of 1940; (ii) assist with the corporate governance of two mutual fund trusts registered under the Investment Company Act of 1940 (the “Funds”); and (iii) assist with the preparation of regulatory filings for both the Funds and the investment adviser.

Job Description


  • Prepare regulatory filings with the SEC (including annual updates to Registration Statements on Form N-1A, supplements, Form N-14, Form ADV and proxy statements).
  • Coordinate with business partners to gather information and documents necessary for filings and presentations to the Funds’ Board of Trustees (the “Board”).
  • Participate in cross-departmental strategic initiatives and new business projects for TAM and TAM products (Funds and collective investment trusts).
  • Manage the maintenance and organization of files and Board materials.
  • Work with internal and external legal counsel, executive management, sub-administrator, and the Board in conjunction with Fund Board meetings.
  • Assist with managing relationships with Fund sub-advisors, including annual contract renewal of sub-advisory and advisory contracts (15(c) materials).
  • Serve as a liaison with industry groups; work on insurance applications and assist in the preparation of investment advisor and transfer agent registration forms (e.g. Forms ADV, TA-1 & TA-2).
  • Work with internal counsel to interpret federal rules, laws, and regulations to determine the effect on new and existing investment products and distribution requirements.
  • Work with internal counsel to develop Investment Company Act and collective investment trust related product disclosures.
  • Work with counsel and Fund compliance to manage responses to litigation, market conduct and regulatory exam requests.
  • Support the drafting, review and execution of agreements with TAM and the Funds including advisory, sub-advisory, trading and administration agreements.
  • Lead special projects as requested.


  • Bachelor’s degree in a business-related field or equivalent experience.
  • Ten years of Legal Analyst experience with at least five years of Investment Company Act specific experience.
  • Outstanding written and verbal communication skills.
  • Research and analysis skills to determine solutions for business needs.
  • Decision-making and problem-solving skills.
  • Organizational skills and the ability to manage competing priorities.
  • Proficiency using MS Office tools and board book software.

Preferred Qualifications:

  • Experience with a variety of investment products (i.e. mutual funds and exchange traded funds)
  • Experience with collective investment trusts a plus.
  • Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to the Colorado Equal Pay for Equal Work Act and Equal Pay Transparency Rules and other compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.


The salary for this position generally ranges between $85,000-$105,000. This range is an estimate, based on potential employee qualifications, operational needs and other considerations permitted by law. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2.

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion.

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. #IND123

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

  • Competitive Pay
  • Bonus for Eligible Employees

Benefits Package

  • Pension Plan
  • 401k Match
  • Employee Stock Purchase Plan
  • Tuition Reimbursement
  • Disability Insurance
  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • Employee Discounts
  • Career Training & Development Opportunities

Health and Work/Life Balance Benefits

  • Paid Time Off starting at 160 hours annually for employees in their first year of service.
  • Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
  • Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
  • Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
  • Adoption Assistance
  • Employee Assistance Program
  • College Coach Program
  • Back-Up Care Program
  • PTO for Volunteer Hours
  • Employee Matching Gifts Program
  • Employee Resource Groups
  • Inclusion and Diversity Programs
  • Employee Recognition Program
  • Referral Bonus Programs
  • Peer Recognition Program (BRAVO)
  • As of December 31, 2022

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 29.5 million people across the globe. It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.