The Business Risk and Controls Analyst focuses on determining the reliability and effectiveness of internal financial controls across the company. Under general supervision, this job is responsible for testing financial records, processes and systems, auditing the recording of transactions and preparing reports of findings and recommendations for management.

Key Responsibilities and Duties

• Monitors, evaluates, and tests financial records, processes, and systems.
• Audits recording of transactions and compliance with applicable laws, agreements, and policies.
• Prepares reports of findings and recommendations to management.
• Supports cross-functional implementation of compliance programs including analysis of transaction-level risks in operational areas.
• Drafts documentation of business processes, risks and controls.
• Analyzes policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 2 Years Required; 3 Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
6IC

• Brokerage operations transactional processing experience is essential

• Experience working with Brokerage Service and Support policies and procedures

• Experience and knowledge of standard and complex brokerage transactions – IGO and NIGO

• Experience with Brokerage Services applications - NetX360, EXP AG, Case Manager, Siebel, etc.

Microsoft applications, particularly, VISIO, WORD,  ACCESS, PowerPoint and Excel

Potential Salary: $71,300.00 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). 

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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.

COVID-19 Vaccination

TIAA requires all U.S. employees to be fully vaccinated against COVID-19 and provide documentation of full vaccination, unless you qualify for an accommodation as determined by TIAA consistent with applicable law.

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

Privacy Notices

For residents of California, please click here to access the TIAA CA Applicant Privacy Notice.

For residents of the EU / UK, please click here to access the EU / UK Pre-employment Notice.

For all other residents, click here to access the Applicant Privacy Notice.