TIAA Compliance Sr Associate - Broker /Dealer Monitoring Team - 3 in Denver, Colorado
Compliance Sr Associate
The Compliance Senior Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under limited supervision, this job focuses on large projects and processes to identify, investigate, and report compliance risks. This job also provides recommendations for policy and procedure revisions.
The Broker-Dealer Compliance Monitoring role is responsible for executing monitoring activities in accordance to the TIAA Compliance Monitoring program and the TIAA-CREF Individual & Institutional Services, LLC Written Supervisory Procedures. Monitoring reviews include working with Compliance lead in developing scope, identifying risks and controls, developing monitoring script, analyzing/interpreting findings, documenting issues and observations, drafting reports, tracking remediation of identified issues. Individual must be able to work independently and with a high level of professionalism.
Key Responsibilities and Duties
Performs compliance risk assessments to identify compliance issues, concerns, and deficiencies.
Conducts investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
Organizes and implements compliance audits.
Designs and implements corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
Reviews reports on the results of compliance and ethics initiatives of the business unit.
Ensures documentation of compliance activities to provide a record of issues, and to enable easy accessibility and retrieval of documents.
Implements preventative measures and compliance processes, while identifying opportunities to revise policies and procedures to improve the general operation of business unit compliance programs.
Helps coach, review and delegate work to lower level team members.
3 Years Required; 5 Years Preferred
University (Degree), Preferred
- Physical Requirements: Sedentary Work
- 3+ years in Financial Services Compliance, internal or external audit, internal control or other testing experience.
Series 7, must be obtained within 6 months of hire.
Series 24 registration must be obtained within 6 months of hire.
Strong Microsoft Office skills (Word and Excel / pivot tables)
Strong Suitability / Best Interest Knowledge
Potential Salary: $93,100.00 USD
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
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.
Benefits and Total Rewards
The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .
We are an Equal Opportunity/Affirmative Action Employer. We 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 protected status.
Read more about the Equal Opportunity Law here (https://www.dol.gov/general/topics/posters) .
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TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.