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TIAA Senior Compliance Associate (Compliance Testing) in Charlotte, North Carolina

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.

KEY RESPONSIBILITIES AND DUTIES:

Enterprise Compliance Sr Associate

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.

Qualifications

3 Years Required; 5 Years Preferred

University (Degree), Preferred

Physical Requirements

Physical Requirements: Sedentary Work

Career Level

7IC

REQUIRED:

  • 3+ years experience in Compliance Testing Programs, Audit, or Regulator

PREFERRED:

  • Bachelor’s Degree

  • Excellent quantitative, analytical and problem solving skills

  • Basic knowledge of FINRA and SEC regulations and/or AML rules

  • Excellent written and oral communication skills

  • Able to work independently and with team members at all levels, across multiple locations.

  • Strong organizational and reporting skills

ADDITIONAL JOB DETAILS:

Responsible for executing the Compliance Testing Plan, including coverage of TIAA Financial Services (TFS), Nuveen, Shared Services, and/or AML/Sanctions. Execute testing according to Enterprise Compliance Testing Program procedures and subject to Quality Assurance review. Prepare detailed testing to support an executive-ready, final testing report. Track any identified issues through to closure. Work with business partners and stakeholders to develop scope and coverage for Compliance Testing reviews.

Role will report to a Compliance Testing Director, but will be deployed across coverage areas, as needed.

Key Responsibilities:

  • Execute testing in accordance with the Compliance Testing Standard Operating Procedures (SOP)

  • Lead and / or participate in meetings with line of business and compliance partners

  • Prepare work papers to support work performed and update electronic tool/system (currently TeamMate+) with current status

  • Work with Line of Business and Compliance stakeholders to track open issues through to closure

  • Draft final reports based on test work performed

Potential Salary: $92,700.00 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).

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

Email: accessibility.support@tiaa.org

For residents of California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) to access the TIAA CA Applicant Privacy Notice.

For residents of the EU / UK, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) to access the EU / UK Pre-employment Notice.

For all other residents, click here (http://www.tiaa.org/public/tiaa-nuveen-privacy) to access the Applicant Privacy Notice.

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.

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