Senior Compliance Associate Jobs

Enterprise Compliance Sr Associate
The Enterprise Compliance Senior Associate will provide support to the TIAA Enterprise Policies and Training programs. This role will assist in managing the operational functioning of the programs. The Senior Associate will work directly with senior compliance leaders and business partners in development, execution, and oversight of the compliance policies and training programs.
Key Responsibilities And Duties

• Support the management and oversight of the Enterprise Compliance Policy Program
• Assist in the design, distribution, communication, scheduling and tracking of compliance training sessions
• Track policy review and approval workstreams.
• Assist and train users of the Compliance Policy Program management software tool.
• Help develop and update the annual Compliance Training Plan
• Work with policy management tool support to develop and troubleshoot key features .
• Assist on various projects, including compliance policy updates and enterprise policies redesign.
• Work with business personnel to assist on compliance training modules content and formatting .
• Maintain routine metrics for analysis and reporting.
• Track and prepare reports and materials for various governance committees, in coordination with the Corporate Secretary’s office.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3 Years Required; 5 Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC
Qualifications
Required:

• 3 years of compliance experience in financial services

Preferred

• Bachelor’s degree
• 5 years of compliance experience in financial services

Base Pay Range: $75,500/yr. - $125,800/yr.
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.
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.
Applicant And Desire a Reasonable Accommodation To Complete a Job Application Please Use One Of The Below Options To Contact Our Accessibility Support Team
If you are a U.S.
Phone: (800) 842-2755
Email: [email protected]
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