Manager, Wealth/Trust Risk

3 weeks ago

Charlotte, North Carolina, United States TIAA Full time

The Risk and Compliance Manager works to optimize the operation of the company's operational risk program. Under limited supervision, this job helps inform the Wealth, TIAA Trust, and Complementary Businesses management teams and Board of Directors of relevant risk initiatives to best inform their decision making. This job also seeks to identify areas of vulnerability within the organization and helps develop corrective action plans to remediate concerns.

As part of the Second Line of Defense Risk Management team, this seasoned professional will partner with business leaders, control partners and the broader Legal, Risk & Compliance organization to lead recurring and ad hoc activities, focusing on current state operations, gaps identification and remediation. As new processes and systems are brought into scope for frontline management, the candidate will support opportunities to streamline routines and enhance the process and control environment.



Key Responsibilities and Duties

  • Oversee and credibly challenge the supported business units, including development and maintenance of key policies and frameworks, management and board reporting, comprehensive aggregated risk assessments, regulatory change management, and other risk management processes.
  • Partner with Business Controls Office and the business to credibly challenge and assess the business environment with respect to managing and mitigating risk including Identifying and recommending opportunities for process improvement, redesign, change management, and risk control development.
  • Credibly challenge the front line of business on the issue design, rating, and management action and proposed controls to ensure mitigation of risk identified.
  • Partner closely with Compliance colleagues to establish processes to ensure effective and timely implementation of regulatory change requirements applicable to the functions.
  • Foster an environment that ensures strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance, and credible challenge.
  • Develop and execute Second Line of Defense testing engagements that may be horizontal and multifaceted. This would include performing walkthroughs, developing test scripts, execution, issue vetting, and drafting final reports.
  • Credibly challenge the front line of business on the issue design, rating, and management action and proposed controls to ensure mitigation of risk identified.
  • Engagement and second line oversight of key risk programs including investment risk, sales practice risk, issues management, incident losses, business continuity, end user computing tool governance, and fraud risk management.
  • Engagement in third party risk management oversight and escalate areas of heightened risk.
  • Assist in regulatory exam support including drafting responses and coordinating materials, as needed.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work


Career Level
8IC

Qualifications:

Required:

  • 5 years, risk, compliance, audit, RIA specific or BD specific experience

Preferred:

  • 7 years, risk, compliance, audit, RIA specific or BD specific experience
Related SkillsAdaptability, Collaboration, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting

Anticipated Posting End Date:

Base Pay Range: $93,800/yr. - $150,000/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.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone:

Email:

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.

For Applicants of Nuveen residing in Europe and APAC, please click here.

For Applicants of Greenwood residing in Brazil (English), click here.

For Applicants of Greenwood residing in Brazil (Portuguese), click here.

For Applicants of Westchester residing in Brazil (English), click here.

For Applicants of Westchester residing in Brazil (Portuguese), click here.

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