Senior Compliance Associate, Ent Senior Compliance Associate, Ent …

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
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

  • Bachelors degree
  • 5+ years of compliance, legal, and/or risk experience in financial services
  • 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
Previous Job Searches

All locations

My Profile

Create and manage profiles for future opportunities.

My Submissions

Track your opportunities.

© TIAA Careers. All rights reserved. Explore all the opportunities we have to offer


Start your career with us

Help us deliver on our unique mission to serve those who serve others. We'll put your talents and skills to work immediately - no waiting.


We are TIAA. Created to serve. Built to perform. DIVERSITY

We're proud of our diverse backgrounds and perspectives.


Explore our career areas to see where you might fit best.


We have opportunities available across the United States and in India.


The overall health of our employees is important to us.


Meet some incredible people making a difference

To mark our 100th year, we're honoring Difference Makers by donating $1 million to the organizations they support. Thousands were nominated, and we want to share their inspiring stories with you.

2019 and prior years, Teachers Insurance and Annuity Association of America - College Retirement Equities Fund, New York, NY 10017

TIAA is an Equal Employment Opportunity/Affirmative Action employer committed to fostering workforce diversity and inclusion.

Advisory services provided by Advise & Planning Services, a division of TIAA-CREF Individual & Institutional Services, LLC, a registered investment adviser.

1 0