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Enterprise Compliance Officer

Charlotte, NC

Enterprise Compliance Officer
The Enterprise Compliance Officer manages the planning of enterprise 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. The job supervises professional level employees (typically entry or experienced level) that are responsible for identifying, investigating and reporting compliance risks.

Key Responsibilities and Duties

  • Manages enterprise compliance programs as well as the development, implementation, and revision of policies and procedures as needed to improve the communication, monitoring, enforcement, and/or general operation of compliance programs.

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  • Liaises with management on compliance programs, policies and procedures.

  • Manages team members through compliance risk assessments, audits, and investigations, while training 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.

  • Supports the development and implementation of corrective action plans, oversees the correction of compliance deficiencies and works with management team to ensure that similar situations are avoided or handled in the future.

  • Communicates results of compliance and ethics initiatives of the enterprise to management, including key takeaways and opportunities for improvement.

  • Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring and/or enforcement of enterprise compliance programs and revises policies and procedures to improve the general operation of compliance programs to management.

  • Manages performance of team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional compliance programs and to foster team member engagement, motivation, and development.
  • Educational Requirements
    • University (Degree) Preferred
    Work Experience
    • 5+ Years Required; 7+ Years Preferred
    Physical Requirements
    • Physical Requirements: Sedentary Work

    Career Level

    This Enterprise Compliance Officer position is responsible for leading and executing the second line of defense HR Compliance Program.   This includes planning, developing and executing the annual monitoring plan and conducting Compliance Risk Assessments.  

    The ideal candidate will have the ability to provide advice and make recommendations resulting from the identification and mitigation of risks. The candidate should have an understanding of HR compliance risks and regulations and should be skilled at performing control assessments to include monitoring, validation, and testing.

    Key Responsibilities: 

    • Analyze HR’s controls, documents, and records in order to verify compliance with regulations and defined policies and procedures.
    • Perform compliance risk assessments, risk-based compliance testing, monitoring and validation to ensure the adequacy and effectiveness of processes, training. controls and systems.
    • Communicate results of monitoring, validation, testing and risk assessments to ensure proper escalation, make recommendations on findings, and aid with the development of management action plans to remediate issues.
    • Monitor, investigate and analyze unusual trends or activities that can be indicative of compliance problems.
    • Support the regulatory change management process.
    • Aggregate information related to the HR compliance program for compliance reporting and dashboards.
    • Provide compliance support in regulatory exams and inquiries.
    • Assist with special departmental projects, as needed.
    • Supervise a Compliance Associate
    • Commit to continuing education to remain current with regulations, best practices, and industry trends.



    • 5 years' compliance, or audit, risk or HR compliance


    • 7 years' compliance, or audit, risk or HR compliance

    Potential Salary: $130,830.00 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: 83559e70897e44000a65e8ed7a8075f8339dcbc3d773d93314707d1fcdba790c
    Employment Type: Other