Senior Compliance Associate, Ent Senior Compliance Associate, Ent …

TIAA
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Competitive
TIAA
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Competitive
Senior Compliance Associate, Ent
All companies + Hiring difference makers. ☰ Sr Compliance Associate-ENT TIAA Aug 29, 2019 Post Date Apply for Job Share this Job

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:

This Sr. Compliance Associate position is responsible for providing compliance support to the enterprise-wide, international TIAA Ethics Program. The Sr. Compliance Associate will participate in the execution of the annual plan for the TIAA Ethics Program which includes an employee and manager training and awareness campaign, monthly analysis of employee conduct risk metrics and monitoring of the TIAA Ethics Helpline.

The ideal candidate will have strong written and verbal communication skills, be detail-oriented and comfortable engaging with stakeholders at all levels of the company. The candidate should have an understanding of whistleblower requirements, should be skilled at the creation of communications and training for a variety of employee levels, and have the ability to conduct analysis on data sets.

Key Responsibilities: 

  • Create training and written communications in support of the Ethics Program.
  • Execute the components of the TIAA Ethics Program annual plan which includes monthly analytical reports and key projects to mature the Program.
  • Manage the relationship with the third party Ethics Helpline provider and complete all sourcing and supplier risk processes in support of the relationship. 
  • Administer the day to day case volume and assignments for the TIAA Ethics Helpline.
  • Monitor, investigate and analyze unusual trends or activities that can be indicative of compliance problems.
  • Ability to work on multiple highly visible projects with competing deadlines, both independently and collaboratively, in a fast-paced environment. 
  • Support the regulatory change management process.
  • Provide compliance support in regulatory exams and inquiries.
  • Assist with special departmental projects, as needed.
  • Interact with ELG and their support staffs in support of Ethics campaigns

QUALIFICATIONS Required:
  • Bachelors degree
  • 5+ years of compliance, legal, and/or risk experience in financial services
Preferred:
  • Legal or audit experience is a plus.
  • Strong written and verbal communications skills
  • Prior experience using Word, Excel and PowerPoint 

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: 1721347
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