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Compliance Sr Associate – Broker / Dealer Monitoring Team

Charlotte, NC

The Compliance Senior Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under limited supervision, this job focuses on large projects and processes to identify, investigate, and, report compliance risks, and provides recommendations for revisions to policies and procedures. This role also helps to support the ongoing administration of tools and technologies used to review electronic correspondence and internal communications.

Key Responsibilities and Duties

  • Organizes and performs compliance risk assessments, monitoring, and surveillance activities to identify compliance issues, concerns, and deficiencies.

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Independently performs all phases of compliance monitoring and surveillance activities, including developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports.

  • Organizes and implements compliance audits.

  • Designs and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected.

  • Documents compliance activities to provide a record of issues, and to enable easy accessibility and retrieval of documents.

  • Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs.

  • Partners with IT and business units to support the ongoing administration of tools and technologies used to review electronic correspondence and internal communications.

  • Develops, implements, and maintains operational, risk, and trending reports related to the firm’s oversight of electronic correspondence and internal communications.

  • Reviews reports on the results of compliance and ethics initiatives of applicable business units.

  • Conducts investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.

  • Helps coach, review and delegate work to lower level team members.

  • Educational Requirements

    • University (Degree) Preferred

    Work Experience

    • 3+ Years Required; 5+ Years Preferred

    Physical Requirements

    • Physical Requirements: Sedentary Work

    Career Level


    The Broker-Dealer Compliance Monitoring role is responsible for executing monitoring activities in accordance to the TIAA Compliance Monitoring program and the TIAA-CREF Individual & Institutional Services, LLC Written Supervisory Procedures. Monitoring reviews include working with Compliance leads to develop the scope, identifying risks and controls, developing monitoring script, analyzing/interpreting findings, documenting issues and observations, drafting reports, tracking remediation of identified issues. Individual must be able to work independently and with a high level of professionalism.


    • 3+ years in financial services compliance, internal or external audit, internal control or other testing experience
    • Knowledge of FINRA, SEC, MSRB and state securities and insurance laws and regulations


    • 5+ years in financial services compliance, internal or external audit, internal control or other testing experience
    • Bachelor’s Degree
    • Series 6
    • Series 7, must be obtained within 6 months of hire.
    • Series 24 registration must be obtained within 6 months of hire.
    • Strong Microsoft Office skills (Word and Excel / pivot tables)
    • Prior experience utilizing Global Relay Archive, the Archer risk management suite, and/or business intelligence tools such as Tableau

    Potential Salary: $95,200.00 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). 


    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


    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.

    Job ID: c834a427c206bd312ed9c916dea1af9f12f4407398eb7627e9d48e367ad56aaa
    Employment Type: Other