Job description
RIA Senior Compliance Officer - Managing Director
The RIA Senior Compliance Officer reports to the TIAA RWP Chief Compliance Officer. This individual will also serve as the Chief Compliance Officer for TIAA-CREF Individual & Institutional Services, LLC (“TC Services”) Advice and Planning Services Division (“APS CCO”) and will also have oversight responsibilities over the compliance programs for Tuition Financing Inc, TIAA Kaspick and TIAA Trust. This executive is responsible for providing effective oversight of the TIAA’s registered investment advisers and trust company compliance programs.
The RIA Senior Compliance Officer will have knowledge and experience of SEC and FINRA rules that apply to wealth management and will lead initiatives to bring maximum effectiveness and efficiency to the respective compliance programs.
The RIA Senior Compliance Officer reports to the TIAA RWP Chief Compliance Officer. This individual will also serve as the Chief Compliance Officer for TIAA-CREF Individual & Institutional Services, LLC (“TC Services”) Advice and Planning Services Division (“APS CCO”) and will also have oversight responsibilities over the compliance programs for Tuition Financing Inc, TIAA Kaspick and TIAA Trust. This executive is responsible for providing effective oversight of the TIAA’s registered investment advisers and trust company compliance programs.
The RIA Senior Compliance Officer will have knowledge and experience of SEC and FINRA rules that apply to wealth management and will lead initiatives to bring maximum effectiveness and efficiency to the respective compliance programs.
Key Responsibilities and Duties
- Provide compliance management and oversight of compliance programs by to developing and enhancing policies and procedures to ensure key controls are implemented and maintained, compliance regulations and requirements are adhered to, and oversight is established.
- Manage performance of team by providing regular and timely feedback to ensure delivery of an effective compliance program, and to foster team-member engagement, motivation, and development.
- Provide counsel to and collaborate with business partners including senior business leaders, Audit, Law, and Risk on compliance risk management issues.
- Ensure efficient deployment of resources across compliance activities.
- Identify and provide guidance on operationalizing new Compliance program regulatory requirements.
- Manage compliance risk assessments to evaluate fundamental operations and identify potential risk areas or control issues.
- Oversee monitoring activities and identification of areas/trends that can be indicative of compliance issues.
- Prepare reports for executive management and governance reviews and assist with other high-level general risk and compliance activities as needed.
- Train team-members on best practices for identifying potential areas of compliance vulnerability and risk, as well as how to avoid or deal with problematic issues in the future.
- Drives accountability and adoption of pertinent Enterprise programs.
- Serve as the primary point of contact for regulatory inquiries and examinations and ad-hoc regulatory requests.
- Helps lead and provide periodic updates to relevant Risk & Compliance Committees.
- Collaborate with the Compliance Monitoring and Testing Teams to develop and guide execution of compliance testing reviews.
- Assist management in preparing and strategizing for examination management process.
- Develop appropriate reporting routines that capture regulatory activity, emerging issues or themes, remediation efforts, and accountability.
- Assist in identifying emerging risks and trends (both internal and external) that could have a negative impact on the ability to achieve the goals and objectives of assigned business.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 10+ Years Required
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
11PL
Qualifications:
Required:
- 10 years expert knowledge and understanding of financial services regulations, products, and services required.
Preferred:
- Requires expert knowledge and understanding of financial services regulations, products, and services.
- Requires knowledge of TIAA enterprise and business line strategy and understanding of TIAA's products and services.
- Experience with the preparation and presentation of compliance oversight-related materials to committees and senior management.
- Experience with providing effective compliance challenge in the context of internal governance committees.
- Experience applying an understanding of regulatory requirements.
- Experience in responding to regulatory inquiries and examinations.
- Experience working closely with legal, compliance and audit.
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).
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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.
Benefits and Total Rewards
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
.
Equal Opportunity
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
.
Accessibility Support
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
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