Compliance Officer Compliance Officer …

in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Compliance Officer
All companies + Hiring difference makers. ☰ Compliance Officer Manager- Broker Dealer Monitoring New TIAA 12 hours ago Post Date Apply for Job Share this Job Company Overview:

TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.

Position Summary

  • Provide oversight to a team of Monitoring professionals who conduct monitoring activities for the Broker-Dealer.
  • Follow up on issues resulting from internal and/or external compliance examinations working effectively and professionally with sales management and others to resolve any issues uncovered through such examinations.
  • Work with Compliance Officers with overseeing the monitoring plan to follow CRA.

Primary Responsibilities

  • Oversight, coaching, development, performance management, and other supervisory tasks of a team of approximately 6 individuals licensed and registered with FINRA.
  • Review all monitoring activities with TeamMate system.
  • Assists in enhancing metrics reporting of monitoring plan for senior leaders.  
  • Assists in the development of annual monitoring plan and enhance testing/monitoring methodologies and process to identify any gaps.
  • Assist in the preparation and review of training materials and other communications to ensure business units meet maintain compliance requirements as well as help to educate internal clients on changes in rules and regulations and their implications for our business.
  • Identify and effectively advise management, project leaders, and other employees on compliance risks, controls to mitigate those risks and ensure that business plans meet regulatory requirements.
  • Support and execute on strategic initiatives such as technology upgrades, and etc.
  • Series 7 & Series 24 must be obtained within 6 months of hire.
  • Travel to other locations is required to meet with team in other sites.

Qualifications: Required:
  • Bachelors degree
  • 8+ years of experience in Audit, Compliance, Testing or Quality Assurance
  • 4+ years of  leadership or supervisory experience managing teams or projects
  • Series 6 or 7
  . Preferred:
  • Graduate Degree
  • Broker-Dealer firm experience
  • Series 7 and Series 24 or ability to obtain within 6 months of hire.
  • Ability to travel as needed (approx.. once a quarter)
  • Knowledge of FINRA, SEC, MSRB and state securities and insurance laws and regulations is required.
  • Proven experience in coaching and developing high performing teams
  • Exceptional time management and organizational skills required
  • Knowledge of state insurance regulations
  • Strong interpersonal and problem-solving skills
  • Superior verbal and written communications skills
  • Demonstrated ability to establish and maintain positive relationships throughout all levels of the organization
  • Strong Microsoft Office skills (Word, VISIO and Excel)
  • Pivot tables in Excel

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: 1719855
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