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TIAA Compliance Analyst III in CHARLOTTE, North Carolina

As a part of TIAA’s Financial Solutions business, TIAA Bank, a division of TIAA, FSB, provides full-service, nationwide banking and lending services to consumer, commercial and institutional clients through a variety of channels, including online, its Florida-based financial centers and at other business offices throughout the country.

Primary Characteristics

The Compliance Analyst III is responsible for supporting compliance oversight of TIAA Bank’s Trust Department activities and to ensure that business practices and procedures provide a sufficient control environment to manage regulatory risk. The Compliance Analyst III is primarily responsible for execution of monitoring activities and certain testing and risk assessment functions for the Trust line of business, as well as assimilation and maintenance of vital compliance records. The Compliance Analyst III may also follow changes in state and federal law and regulations that apply to TIAA Bank Trust Department and assist with compiling business-friendly summaries of those requirements, as applicable. The Compliance Analyst III supports the Trust Department with answers to day-to-day operational and regulatory compliance issues, provides guidance on business impact of regulatory changes and compliance impact as a result of business process changes.

The successful candidate will assist with reviewing procedures, policies, processes, training materials, and client-facing communications to help identify enhancements and new processes for implementation in response to regulatory requirements. Responsible for maintaining and communicating business-friendly legal requirements charts and summaries as requested by Trust Departments or identified as a need by other governance groups. Responsible for working with other governance units within TIAA Bank, including Legal, Risk, Quality Control, Internal Audit, and Enterprise Vendor Management, to support the Trust Departments and address regulatory issues identified in connection with TIAA Bank’s Trust Departments.

Essential Functions

  • Develop relationships within Trust Department and other internal governance groups to ensure partnership approach to compliance management.

  • Responsible for updating and maintaining databases used in testing, monitoring, risk assessments and other compliance activities related to the Trust business.

  • Perform and report on monitoring routines; gather materials for and assist in execution of targeted tests and risk assessments.

  • Report Trust Department compliance needs and support the business in creating processes, procedures, and client communications that comply with regulatory requirements.

  • Special projects as defined by Compliance management.

  • Create/maintain effective tools for tracking and monitoring compliance projects, including database of reportable activities, risk assessments, and other reporting as required.

  • Assist in the development and review of business requirements and validate any testing necessary to implement business requirement changes.

  • Help coordinate and prepare responses to customer complaints and other communications concerning regulatory matters.

  • Assist in preparations for regulatory examinations and audits.

Knowledge, Skills, and Abilities Requirements

  • Working knowledge investment and fiduciary laws, regulations, OCC guidance as well as relevant state level limitations and requirements.

  • Ability to change and grow in a fast-paced, dynamic environment.

  • Ability to promote a partnership approach to compliance oversight.

  • Experience conducting legal research and analyzing legislation, statutes, regulations and exam manuals preferred.

  • Ability to review and communicate compliance research results pertaining to regulatory, investor, agency, and corporate policies, procedures and guidelines preferred.

  • Highly professional written and verbal communication skills and presentation skills.

  • Detail oriented, with good analytical skills and experience.

  • Excellent computer skills, including experience with MS Office Professional, and SharePoint.

  • Strong internet research skills.

Training and Experience

  • A minimum of 5 years financial services compliance and/or risk management experience required.

  • Experience working directly with legal and regulatory compliance requirements preferred.

  • College degree preferred

  • Project management experience preferred.

  • Experience with implementation of compliance processes in connection with Compliance requirements preferred.

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We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Additional Information

  • Requisition ID: 1719831

Field: Legal, Compliance, & Risk

Company: TIAA Bank

Post Date: 2 days ago

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