Compliance Officer Compliance Officer …

in Charlotte, NC, United States
Permanent, Full time
Last application, 06 Jan 21
in Charlotte, NC, United States
Permanent, Full time
Last application, 06 Jan 21
Compliance Officer
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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.

Position Summary:

The Lead Compliance Officer will manage a team of Compliance professionals to set enterprise standards and administer the various business level Personal Trading and MNPI programs.  The Lead Compliance Officer will contribute to the planning process and development of policies, processes or guidelines. This individual will be responsible for managing operational execution, including ensuring compliance standards are executed and methodologies are being practiced. This position will also partner and interface regularly with colleagues across the enterprise.

Key Responsibilities: 

  • Provide compliance oversight and support for MNPI and Personal Trading policies across the enterprise, in order to ensure key controls are implemented and maintained, compliance regulations and requirements are met, and proper business oversight is established. 
  • Establish and maintain enterprise-wide policies relating to personal trading and use of MNPI in partnership with an array of stakeholders.  Maintain internal desk procedures for Compliance team members that reflect all of the processes administered by the team, and the supervision thereof
  • Serve as a subject matter expert for all businesses on day-to-day compliance activities and initiatives.
  • Identify and provide guidance on operationalizing new business area regulatory requirements.
  • Oversee processes around compliance metrics and scorecards for businesses, boards and other governance routines.  Serve as a key participant in various governance forums.
  • Oversee development and maintenance of training materials and other documentation in conformity with compliance standards to ensure supported business area meet and maintain compliance requirements.
  • Oversee monitoring and investigation of unusual trends or activities that can be indicative of compliance problems.
  • Work with business to develop management action plans to remediate any compliance-related issues.
  • Participate in the Compliance Risk Assessment and Testing Program.
  • Collaborate closely with Business, Law, Risk and other Compliance partners on compliance related matters.
  • Execute all programs with the utmost competency, integrity, and world-class service to our associates 

  • Bachelors degree
  • 10+ years of compliance, risk, legal, operations, and/or audit experience in financial services or the military
  • Masters Degree or JD
  • Personal Trading Compliance experience
  • Strong people manager, with substantial experience managing staff
  • Subject matter expertise in investment markets, and securities, with an emphasis on the Investment Advisers Act, and the Investment Company Act, and FINRA regulations relating to personal trading. 
  • Process improvement experience
  • Excellent written and verbal communication skills.
  • Demonstrated excellence in strategic planning, and an effective influencer
  • Highly productive, with experience in improving process effectiveness
  • Impeccable judgment
  • Thrives under pressure

Equal Employment Opportunity is not just the law, its our commitment. Read more about the .

If you need assistance applying due to visually or hearing impaired, please email .

We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.

Additional Information
  • Requisition ID: 1725486
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