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TIAA Lead Compliance Officer-ENT -Charlotte in CHARLOTTE, North Carolina

The Enterprise and Shared Services Compliance Testing Manager Role is responsible for executing and overseeing testing according to the TIAA Enterprise Compliance Testing Program procedures and standards, with a specific focus on the enterprise-wide and shared services reviews. Testing includes scoping subject area; identifying risks and associated controls; developing test scripts; analyzing/interpreting findings; documenting issues and observations; drafting reports; and updating the compliance testing tool (TeamMate). The Testing Manager will be responsible for overseeing and reviewing the work of offshore resources who will execute testing. The Testing Manager should be able to work independently and with a high level of professionalism and collaboration with the broader testing team. Both test work and manager reviews will be subject to periodic Quality Assurance reviews.

Role reports to TIAA Head of Enterprise Compliance Testing.


Execute and oversee testing in accordance with the Compliance Testing Standard Operating Procedures (SOP

  • Oversee testers executing enterprise-wide and shared services compliance reviews. Testing Manager should be able to oversee specifically:

  • Scoping subject area to understand policy/procedures, systems, business practices, regulatory requirements, and industry guidance

  • Identification of key controls and mapping processes into workflows

  • Preparation of test scripts and execution of testing

  • Analysis and interpretation of findings

  • Documentation of work executed, observations, and remedial actions

  • Presentation of testing results to Senior Stakeholders and issuing of final report

  • Tracking the progress and resolution of open issues and validation of closed issues

  • Completing workpaper reviews on time and according to established standard


• Bachelor’s Degree required

• 10+ years experience in Compliance Testing Programs and/or Audit

• Experience managing people

• Experience working with TeamMate system preferred but training will be provided

  • Proven track record of strong attention to detail

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We arean Equal Opportunity/Affirmative Action Employer. We will consider allqualified applicants for employment regardless of age, race, color, nationalorigin, sex, religion, veteran status, disability, sexual orientation, genderidentity, or any other legally protected status.

Additional Information

  • Requisition ID: 1718505

Field: Legal, Compliance, & Risk

Company: TIAA

Post Date: Apr 11, 2019