Compliance Officer
This role will support compliance and risk management activities for TIAA Wealth & Advice and the registered investment advisers and broker-dealer entities that support this line of business. The Compliance and Risk Officer will implement broader planning for business unit compliance and risk programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies, and that risk and control programs are well executed. As a subject matter expert in compliance and risk management, this job manages large projects and processes to identify, investigate, and report risks.
Key Responsibilities and Duties
- Oversees risk assessments to identify issues, concerns, and deficiencies.
- Develops and oversees risk tolerance guidelines and policies, ensuring the risk of exposure of the organization remains within the guidelines and, if not, that there is appropriate go to green plans to remediate.
- Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
- Assesses best practices, processes, and control environment to ensure appropriate frameworks are in place to manage risk.
- Evaluates and modifies risk management frameworks to better manage and report aggregate global risk exposures.
- Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
- Reviews and approves reports on the results of compliance and risk management initiatives of the business unit, and communicates key takeaways from reports to management.
- Develops and implements preventative measures and processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance and risk programs to management.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 5+ Years Required; 7+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
8IC
Qualifications:
Required:
- 5+ years of experience in financial services Risk, Compliance, or Audit.
Preferred:
- 7+ years of experience in financial services Risk, Compliance, or Audit.
- Understanding of registered investment adviser and broker-dealer compliance obligations and risk programs.
- Knowledge of operational risk and/or enterprise risk management programs.
- Ability to manage multiple tasks concurrently and execute work with limited guidance.
- A highly collaborative business partner who can effectively partner with colleagues that are widely dispersed both functionally and geographically.
- FINRA Series 7/24 preferred
Related Skills
Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
Anticipated Posting End Date:
2026-10-21
Base Pay Range: $105,000/yr - $135,000/yr
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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