Enterprise Compliance Officer

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.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• Physical Requirements: Sedentary Work

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.

Qualifications:

Required:

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

Preferred:

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

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

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