TIAA Director, Lead Compliance Officer-BU in CHARLOTTE, North Carolina
TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.
Manages and provides second line support to processes including Registration and Licensing, regulatory complaint and quarterly statistical filings, policies and procedures, firm element and annual compliance training, and serve as primary compliance contact for Regulatory Supervision.
DUTIES AND RESPONSIBILITIES:
• Provide compliance oversight and support for regulatory supervision partners
in order to ensure key controls are implemented and maintained, compliance
regulations are met, and proper business oversight is established.
• Serve as a subject matter expert for suitability, conflicts of interests, and
registered branch activities and initiatives.
• Manage and oversee complaint reporting requirements including 4530 filings,
U-4/U-5 and statistical quarterly filings.
• Manage and oversee ownership and development of policies and associated
business owned procedures including process owner of the Services’
• Manage and oversee new law tracking and regulatory developments in order
to facilitate applicability and identification of gap assessments.
• Manage and oversee firm element training, annual compliance training and
affiliated completion reports including support and oversight of required
updates, course feedback and general support of audience participation
• Serve as compliance support for FINRA and state securities inquiries and
• Conduct compliance risk assessments to evaluate fundamental operations and
identify potential risk areas or control issues.
• Support monitoring and investigation of unusual trends or activities that can be
indicative of compliance problems.
• Work with business to develop management action plans to remediate any
• Prepare reports for executive management and governance reviews, and
assist with other high-level general compliance activities as needed.
• Collaborate closely with Business, Law, Risk and other Compliance partners
on compliance related matters.
• Bachelor’s Degree
• 10 plus years of broker dealer/RIA Compliance
• Knowledge of FINRA customer complaint reporting
• Experience drafting and managing policy and procedure process
• FINRA Series 7, 24
• Master’s degree or JD
• Management experience overseeing FINRA and RIA compliance
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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.
- Requisition ID: 1727494
Post Date: Jul 28, 2020