Job Information
TIAA Managing Director, Enterprise Senior Compliance Officer in New York, New York
Enterprise Sr Compliance Officer
The Enterprise Senior Compliance Regulatory Programs Officer supports the Enterprise Compliance Chief Compliance Officer (CCO) to help drive global Compliance transformation and strategic initiatives with a focus on meeting regulatory obligations and operating efficiency and effectiveness. This role will also assist in developing and maintaining a global coverage plan which defines the scope and focus of Compliance activities for a globally recognized financial services firm. Additionally, the role will focus on developing partnerships and collaborations with key stakeholders in the development and execution of strategic and risk management priorities.
Key Responsibilities and Duties
Executes strategic initiatives and programs at the direction of the CCO and Compliance senior leadership team
Provides strategic consulting services and thought leadership utilizing comprehensive, in-depth knowledge, expertise, and emerging industry trends
Provides vision, direction, and expertise to experienced leadership for implementing innovative and significant business solutions that are large scale and cross organizational
Delivers solutions that are long-term, large-scale, and require vision, creativity, innovation, advanced analytical and inductive thinking, and coordination of highly complex activities and guidance to others
Strategically engages with all levels of professionals and managers across multiple lines of business; holds others accountable for delivery
Keeps pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively
Maintains a view of all initiatives to identify cross-cutting issues, efficiency opportunities, and any potential inconsistencies; identifies and manages interdependencies
Assists in identifying, aggregating, reporting, escalating, inspecting, and challenging remediation plans; performing thematic anan Front-line and IRM Compliance-owned issues and control enhancements; and developing risk metrics and monitors related to performance and breach remediation
Educational Requirements
- University (Degree) Preferred
Work Experience
- 10+ Years Required
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
11PL
The Enterprise Senior Compliance Officer supports the SMD Enterprise Compliance Officer to help drive global Compliance strategic initiatives with a focus on meeting regulatory obligations and operating efficiency and effectiveness. The role will focus on developing partnerships and collaborations with key stakeholders in the development and execution of strategic transformation as well as Enterprise Compliance Programs and Policies.
Other Key Responsibilities and Duties
Executes strategic initiatives and programs
Provides strategic consulting services and thought leadership utilizing comprehensive, in-depth knowledge, expertise, and emerging industry trends
Strategically engages with all levels of professionals and managers across multiple lines of business; holds others accountable for delivery
Keeps pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively
Provides centralized oversight of all enterprise compliance policies under their purview and creates and fosters a culture of ethics and compliance throughout the organization.
Supports the SMD, Enterprise Compliance Officer with strategic initiatives, including but not limited to, leveraging technology, AI, and data analytics to gain operational efficiencies, evaluating global compliance coverage, maximizing opportunities for leveraging TIAA Global Capabilities resources (India), and promoting enterprise compliance recognition.
Responsible for creating and maintaining (annual reviews) of enterprise-wide policies, including Codes of Ethics/Personal Trading, Material Non-Public Information (MNPI) and Insider Trading, Business Gifts, Meals and Entertainment, Political Contributions and Activities, Contact/Doing Business with U.S. Government Entities, Outside Business Activities, Relationship Disclosure and Electronic Communications, and others as developed.
Oversees a team of compliance professionals who are responsible for the day-to-day management of the compliance risk management programs, policies and related procedures. Such as Personal Trading, Gifts and Entertainment, Outside Business Interest.
Ensures execution of enterprise compliance strategic initiatives by setting goals and managing priorities for team leaders.
Develops and implements strong monitoring, surveillance, and metrics reporting programs and effective training content.
Maintains a view of all enterprise compliance initiatives offering appropriate solutions, holding team members accountable for delivery, adhering to budget constraints, and providing the necessary leadership to implement change effectively.
Partners with the CCOs and senior management of each of the regulated entities to identify and mitigate employee conduct risk, ensure adherence to regulations, and maximize collaboration while identifying and reducing redundancies in line of business compliance and enterprise compliance.
Leads the technology prioritization of budget and project deliverables related to enterprise compliance initiatives.
Provides subject matter expertise on related regulatory requirements and compliance technology solutions to the LR&C Leadership team and throughout the organization.
Oversees Government Relations and lobbying – US and Internation
Minimum Qualifications:
Minimum of 10+ years of enterprise compliance experience and 3+ years of management experience.
Experience in financial services company, or financial services consultancy firm as a compliance professional.
Preferred Qualifications:
15+ years of enterprise compliance experience and 5+ years of management experience.
University (Degree); JD in Law Preferred, Prior Government Relations experience preferred
Strong interpersonal skills and the ability to interact with people at all levels.
Ability to think critically and find creative, practical solutions to achieve objectives.
Strong oral and written communication skills including presentations and public speaking.
Ability to adapt to and initiate change.
Demonstrated ability to work collaboratively with cross functional groups and support senior management.
A highly collaborative business partner who can effectively manage and influence relationships that are widely dispersed both functionally and geographically.
Related Skills
Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking
Anticipated Posting End Date:
2024-11-24
Base Pay Range: $168,800/yr. - $281,300/yr.
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).
Company Overview
Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.
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) .
Equal Opportunity
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) .
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:
Phone: (800) 842-2755
Email: accessibility.support@tiaa.org
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
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.
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
Nondiscrimination & Equal Opportunity Employment
TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.
EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)
Pay Transparency
Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)