Job Information

TIAA Compliance Officer in CHARLOTTE, North Carolina

A bout theCompany:

TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.


This Compliance Officer role is designed to provide expertise in the management and oversight of compliance policies framework for TIAA Individual & Institutional Services and related entities. Additionally, the candidate is responsible for the support, coordination and development of key compliance training elements, regulatory review and implementation of new policies and communication efforts for impacted business areas. Further, the role may contribute to other core compliance functions, such as annual compliance risk assessments, and regulatory inquires. Experience in operational ok I execution, including ensuring compliance standards are met and technical writing skills are required.

Major Responsibilities:

  • Managementof the ‘Services Compliance Manual”; which includes over 200+ individualpolicies relating to the broker-dealer that spans numerous products, servicesand regulatory topics.

  • Lead Compliancecoverage on policies for TIAA Individual & Institutional Services includingsupport for Advice & Planning Services and related entities in order toensure key compliance regulations and requirements are met, controls areimplemented and maintained, and proper business oversight is established.

  • Deploy a consistent andlogical framework that ensures policies via established review standards

  • Support the developmentand maintenance of compliance training materials including the firm’s AnnualCompliance Meeting, Firm Element Plan and other training elements in conformitywith compliance standards to ensure business areas meet and maintain regulatoryand firm compliance requirements.

  • Serve as a supportpartner to assigned policy owners (compliance officers) facilitating thecreation and maintenance of comprehensive policies.

  • Write and disseminatepolicy alerts.

  • Support processesaround regulatory rule and law gap assessments and regulatory initiativesimpacting the Services broker/dealer.

  • Abide by a consistent standard of format and voice, writing, editing andupdating policies that communicate changes in a cogent and effectivemanner. Clear, concise and simplelanguage.

  • Serve as a policyexpert to interpret policies and resolve problems.

  • Identify areas ofgaps, deficiency or oversight related to policy editing and updates.

  • Coordinate thepolicy review/approval workflow and publishment.

  • Maintain aworking database of assigned policy owners.

  • Advise and assistRegulatory Supervision with the creation of accompanying Written SupervisoryProcedures that are specific, actionable and measureable.

  • Identify and provide guidance on operationalizing new regulatoryrequirements.

  • Provide assistance in compliance risk assessments and related work streamefforts in order to meet internal deadlines.

  • Oversight of training completions and adherence to the Firm’s reportingobligation.

  • Provide compliance support in regulatory examinations and inquiries.

  • Collaborate closely with Business, Law, Risk and other Compliancepartners on related matters.

Required Skills:

  • 7+ years, prior regulatory or complianceexperience in financial services including involvement in policies, proceduresor related work.

  • BA Degree

  • Regulatory experience within financial servicesincluding FINRA, SEC and state regulations

Preferred Skills:

  • Masters or JD a plus

  • Series 7 and 24 or Series 6 and 26 (orsuccessful completion within 6 months)

  • Strong technical writing skills

  • Ability to remain task focused

  • A successful track record of project oversightand meeting required deadlines.

Equal Employment Opportunity is not just the law, it’s ourcommitment. Read more about the .

If you need assistance applying due to visually or hearingimpaired, please email .

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

Additional Information

  • Requisition ID: 1719709

Field: Legal, Compliance, & Risk

Company: TIAA

Post Date: 5 days ago