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TIAA Associate Director, Internal Audit Senior Manager (Investigations) in Mumbai, India


TIAA GBS India was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack.TIAA GBS India is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.

Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

Internal Investigations Mgr India

Designs, develops and implements internal accounting controls; evaluates and reports on the validity and effectiveness of existing internal controls.

Key Responsibilities and Duties

  • Supporting cross-functional implementation of Sarbanes-Oxley compliance program including analysis of transaction-level risks in operational areas.

  • Supporting documentation of business processes, risks and controls.

  • Assisting with coordination of the audit of internal control systems by external auditors.

  • Providing consultation and value-added insights regarding the efficiency and effectiveness of control processes.

  • Conducting investigations of alleged violations of the corporation's ethical standards and non-compliance with applicable laws, regulations and corporate policy issues.

  • Conducting routine audits of corporate departments to ensure compliance and managing process of correcting noncompliance and compliance gaps.

  • Recommending proactive practices to reduce violations or noncompliance.


  • 5 Years Required; 7 Years Preferred

  • University (Degree), Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level


Key Duties & Responsibilities : List up to 5 key duties and responsibilities, management responsibilities and time spent (if applicable)

Position Summary:

Responsible for Internal Investigations, Internal Audits, and Data Analytics.

Responsible for identifying and focusing on business processes and practices where higher fraud risk may be present; designing and conducting investigative and fraud detection programs related to fraud threats; synthesizing and integrating disparate information; assessing root causes and causative factors for systemic issues; preparing and presenting comprehensive reports; and applying subject matter expertise related to fraud risk and fraud risk mitigation.

Plans and conducts complex internal audits under the general direction of the Audit Executive/Director and in compliance with audit standards, schedules and regulatory expectations. Works on problems of diverse scope involving assessment of risk, interpreting audit results and developing recommendations for remediation. Serves as SME regarding the evaluation of the adequacy of the company's internal control structure and effectiveness, effectively communicating complicated risk and control considerations to management, peers, external auditors, subordinates and others. Makes decisions on complex issues dealing with risk assessment, regulatory compliance and controls issues having moderate to high impact to the organization.

Key Responsibilituies:

  • Conducts and oversees corporate investigations of fraud, integrity violations and financial abuse. Plans and conducts examinations and investigations related to risks, indications or allegations of asset misappropriation, financial statement or records fraud, or employee and insider integrity concerns.

  • Provides oversight of the design, development, and planning for investigations and internal fraud detection projects that provide an effective and appropriate response strategy for identified fraud risks associated with all company products, services, business units and entities, employees, vendors and other business partners.

  • Conducts and documents interviews with informants, complainants, employees and external parties and ensures appropriate handling by team members of sensitive information and that work product of team members (reports, exhibits, work papers) meet professional practice standards, and are considered sufficient to withstand possible critical scrutiny of adverse parties, such as opposing legal counsel.

  • Establishes an audit team and provides direction and guidance to subordinates and/or peers in the conduct of an audit and monitors progress and quality against stated audit objectives and Division requirements.

  • Develops and presents remediation solutions where control weaknesses have been identified, providing recommendations on risk and control strategies.

  • Consistently works on audits or situations across supported business area(s). Disseminate and share best practices with senior and middle management, adding value to the business and enabling the principles of risk management and control to be embedded in the culture and management practices. Serves as SME to supported business area(s).

  • Helps collaborate and develop data analytics use cases and strategy as it pertains to internal control testing and the identification of fraud and employee misconduct.

  • Researches and dispositions potential data-driven indicators of internal control failures, fraud and employee misconduct to help support refinement of ongoing analytics.

Management/Leadership Responsibility: Is management of people a primary focus of the role? If so, how many direct and indirect employees are managed? Do any of them manage a function or process?

  • Manages, through direct reports and/or subordinates, the coordination of the activities within the function with responsibility for results. Recommend and implement changes to methods of performing work. Manages multiple projects at the same time, with responsibility for establishing teams of associates, staff and seniors; Interacts regularly with the Leadership team and senior leaders within the organization, with responsibility for the upward management of required activities in supporting fraud detection projects and investigative efforts; Manages direct reports and/or subordinate staff; manages recommendations regarding hiring, promotion, salary, termination etc., for direct reports and subordinate staff. Completes and delivers performance appraisals and development plans during the annual and interim performance evaluations process. Organizes, orchestrates, and monitors moderately complex sets of activities, people and resources over extended periods of time. Actively engages in and may lead firm level initiatives, with a focus on people related matters, such as Employee Resource Groups (ERG), leadership training and mentoring programs.

Business or Industry Expertise: Describe the degree of knowledge and understanding required of TIAA’s business and industry, commercial environment and of competitors products and services.

  • Requires high level of familiarity in legal and professional standards associated with such investigations, and a strong understanding of the investigative results and fraud detection programs required by management throughout the organization, and by law enforcement and prosecutors in a wide variety of jurisdictions and venues. Must have a comprehensive understanding of current fraud and financial crimes threats, relevant leading investigative and fraud detection practices and techniques, prohibited practices, and related legal and regulatory considerations.

  • Requires knowledge of financial services products, services and regulations; internal audit best-in-class practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance). Must have strong working knowledge and experience with the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit division's methodology is aligned. Must be proficient in risk and control analysis and audit concepts for supported area.

Interactions / Interpersonal Skills: Describe the nature and level of interactions this job has with others, both internally and externally. Explain any specific interpersonal skills necessary to successfully perform this role (i.e., negotiation skills, represents business at external events or to governmental bodies, etc. ).

  • Networks with senior personnel internally and externally and across groups and with external parties to resolve issues, gain needed information and influence outcomes. Makes decisions and determinations about work objectives, priorities, execution, and timing for projects that have a moderate to high impact to the organization. Monitors and manages compliance with forensic/fraud detection and investigation service standards by the assigned team, and authorizes exceptions and alternate procedures.

Job Requirements And Qualifications : Indicate the minimum and preferred education and experience for the job and any licenses and certifications required

Required Education:

Bachelor's Degree in Business, Accounting, Finance, Criminal Justice, or in a related field of study is required.

Preferred Education:

Chartered Accountant (CA), M.S. or MBA preferred.

Required Experience:

8+ years of professional auditing, accounting, examination, investigation, analytical, or consulting work that provided experience in fraud auditing; fraud investigation; fraud detection; forensic accounting; fraud examination; fraud-specific risk management; and/or fraud/investigative-specific consulting and advisory work performed for large financial services firms, or as a member of a forensics or advisory practice at a public accounting firm, or at a governmental agency, or through substantially similar professional work.

Preferred Experience:

10+ years experience. Experience is preferred that provided familiarity with business operations and processes, and related fraud risks, in large financial services firms. Experience in working with and mining large volumes of data using data analytics and visualization (e.g. Python, R, Tableau, Microsoft Power BI).

Skills and Abilities:

CFE, CPA, CIA, or other relevant certification strongly preferred.

Required Licenses/Certifications:

Chartered Accountancy (CA), Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Fraud Examiner (CFE) or similar certification is preferred.

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.

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.