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TIAA Senior Compliance Associate - Registered Investment Adviser Compliance in United States

This position is for a Senior Compliance Associate on the Registered Investment Adviser Compliance Team. This individual contributor role will be primarily responsible for supporting the compliance and risk management programs for the registered investment advisers (“RIAs”) within TIAA’s Retirement and Adjacent Businesses (“RAB”). In addition, this role will assist with advisory and guidance services to the 1st line of defense, execution of targeted assessments and monitoring activities, and general support of the RIA Chief Compliance Officers. The ideal candidate must have the ability to manage complex concepts, competing priorities and be able to build effective relationships with business partners and internal stakeholders.

Key Responsibilities and Duties

  • Perform Compliance Monitoring and Surveillance activities and report results and issues to the appropriate RIA CCO for further action.

  • Review and modify compliance policies and procedures, standards and guidelines as needed through collaboration with the appropriate RIA CCO and first line of defense business partners.

  • Assist in the disposition of regulatory change management (RCM) alerts related to each RAB RIA.

  • Support RAB CCO’s in the response to escalations and questions and providing guidance and direction in compliance matters.

  • Support issues management for RAB RIAs, following TIAA’s Holistic Issue Management (“HIM”) methodology. Manage issue lifecycle within the Archer Enterprise Governance, Risk, and Compliance tool.

  • Assist RIA CCO’s with oversight functions such as creation of metrics for board and committee presentations.

  • Assist with audit/compliance testing/regulatory exam management routines.

  • Assist management by participating in or leading special projects, conducting testing, training and/or presentations as needed to be able communicate program updates.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 3+ Years Required; 5+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level

7IC

Qualifications:

Required:

  • 3 years audit, risk and compliance in the financial services industry

Preferred:

  • 5 years audit, risk and compliance in the financial services industry

  • Bachelor's Degree

  • Knowledge of SEC regulations, including the Investment Advisers Act Rule 206(4)-7.

  • Experience in financial services in Audit or Compliance Testing is a plus.

  • Understanding and familiarity with the Archer Enterprise Governance, Risk and Compliance system.

  • Ability to work independently on projects or initiatives with demonstrated abilities to carry analysis from start to finish and be self-motivated.

  • Ability to work as part of a team in a collaborative environment and fully participate in projects acting as either lead contributor or assisting teammates as necessary.

  • Possess strong communication skills with the ability to effectively communicate across different levels of an organizational structure, tailoring information and presentations according to the audience and relevancy.

  • Proficient in the Microsoft Office suite (Word, Excel, PowerPoint)

  • Proactive in identifying potential concerns and follow-up to resolve such issues.

Potential Salary: $95,200.00 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).


Company Overview

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.

COVID-19 Vaccination

TIAA requires all U.S. employees to be fully vaccinated against COVID-19 and provide documentation of full vaccination, unless you qualify for an accommodation as determined by TIAA consistent with applicable law.

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

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For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

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