TIAA Compliance Advisor (Transaction Oversight) in Charlotte, North Carolina
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information about the firm please visit our website at www.Nuveen.com
Implements business unit compliance programs to prevent illegal, unethical, or improper business practices.
Key Responsibilities and Duties
Maintaining and revising policies and procedures for the general operation of the compliance program and its related activities.
Reporting on the results of compliance and ethics initiatives of the business unit.
Implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future.
Conducting investigative procedures in response to violations of rules, regulations, policies, and procedures.
2 Years Required; 3 Years Preferred
University (Degree), Preferred
- Physical Requirements: Sedentary Work
2 years or more of transactional testing monitoring and reporting
2 years or more of working in an order management system (OMS)
2 years or more of reviewing and updating existing policies and procedures.
2 years or more supporting fixed income investment activities, including trading
2 years or more coordinating due diligence questionnaires, RFP support and other client communication.
* This position is available across the US *
Minimum Pay: $58,500.00
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) .
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
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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.