Senior Compliance Associate (Compliance Testing)

Senior Compliance Associate (Compliance Testing)

Responsible for executing the Compliance Testing Plan, including coverage of TIAA Financial Services (TFS), Nuveen, Shared Services, and/or AML/Sanctions.   Execute testing according to Enterprise Compliance Testing Program procedures and subject to Quality Assurance review.  Prepare detailed testing to support an executive-ready, final testing report. Track any identified issues through to closure.  Work with business partners and stakeholders to develop scope and coverage for Compliance Testing reviews. 

Role will report to a Compliance Testing Director, but will be deployed across coverage areas, as needed.

Key Responsibilities and Duties

• Execute testing in accordance with the Compliance Testing Standard Operating Procedures (SOP)
• Lead and / or participate in meetings with line of business and compliance partners
• Interpret internal and external risk to set the scope of reviews
• Perform tests of design and tests of effectiveness to assess compliance controls
• Prepare work papers to support work performed and update electronic tool/system (currently TeamMate+) with current status
• Work with Line of Business and Compliance stakeholders to track open issues through to closure
• Validate issues submitted for closure
• Draft final reports based on test work performed
• Complete all testing timely and in accordance with established standards

Qualifications
3 Years Required; 5 Years Preferred
University (Degree), Preferred

Physical Requirements
Physical Requirements: Sedentary Work

Career Level
 7IC

REQUIRED:

• 3+ years experience in Compliance Testing Programs, Audit, or Regulator

PREFERRED:

• Bachelor’s Degree

• Excellent quantitative, analytical and problem solving skills

• Basic knowledge of FINRA and SEC regulations and/or AML rules

• Excellent written and oral communication skills

• Able to work independently and with team members at all levels, across multiple locations.

• Strong organizational and reporting skills

Potential Salary: $92,600.00 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

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