TIAA Sr. Compliance Associate in CHARLOTTE, North Carolina

Sr. Compliance Associate

Location: United States, North Carolina, Charlotte


Field: Legal, Compliance, & Risk


Post Date: 2 hours ago


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This Sr. Compliance Associate position is responsible for providing compliance support to the Enterprise Volcker Rule, Transaction with Affiliates and Enterprise Regulation W Compliance Programs. The Sr. Compliance Associate will support the Volcker Compliance point of contact to address rule implications across the Enterprise as well as support management with respect to managing the Regulation W program and Transactions between Affiliates program. The Sr. Compliance Associate will be responsible for resolution of complex questions or transactions, where expertise is required to interpret against policies, guidelines or processes. Additionally, the Sr. Compliance Associate will be called upon to assist in research and review impact of new regulation proposals, changes and guidance. The Sr. Compliance Associate will have full ownership for one or more processes, reports, procedures or products, and will primarily be focused on day-to-day deliverables and developing solutions.


  • Analyze operational procedures in order to verify compliancewith applicable regulations and defined policies.

  • Support with conducting compliance risk assessments as itrelates to the Volker Rule, Regulation W and the Transaction with AffiliateEnterprise-wide Policy.

  • Perform, risk-based compliance monitoring and validation toreasonably ensure the design and effectiveness of business area processes,controls and systems.

  • Communicate results to relevant stakeholders of monitoring,validation and risk assessments to ensure proper escalation, makerecommendations on findings, and aid with the development of management actionplans to remediate issues.

  • Liaise with Lines of Business stakeholder on action planprogress.

  • Support the regulatory change management process.

  • Provide compliance support in regulatory exams andinquiries, as needed.

  • Assist with special departmental projects, as needed.

  • Draft and update policies and procedures.



  • Bachelor’s degree

  • 3+ years ofcompliance, legal, and/or audit experience required


  • Volcker Rule andRegulation W experience

  • MBA or JD

  • Prior Audit, Legaland/or Compliance within the financial services industry

  • Prior experienceperforming monitoring, validation, testing and risk assessments

Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the.

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This organization is an equal employment opportunity (EEO) employer,dedicated to maintaining a work environment free of bias, harassment,discrimination and retaliation. As an EEO employer, this organization expresslyprohibits discrimination, harassment, and retaliation on the basis of race,creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy(including childbirth, breastfeeding or related medical conditions whereapplicable), sexual orientation, gender, gender identity, gender expression,transgender, marital status, national origin, ancestry, physical or mentaldisability, requesting a reasonable accommodation based on mental or physicaldisability, medical condition (as defined by applicable law), genetic historyand information, citizenship status, military or veteran status, or any otherstatus protected by federal, state, or local law or ordinance or regulation(collectively referred to here as “protected characteristics”).

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017

Additional Information

  • Requisition ID: 1717186