Business Controls Officer

1 month ago

New York, New York, United States TIAA Full time
Risk & Controls-Nuveen
The Risk & Controls job evaluates the reliability and effectiveness of internal financial controls across the company. Under limited supervision, this job is responsible for reviewing the testing of financial records, processes and systems as well as the auditing of the recording of transactions. This job also reviews reports of findings and recommendations for management.

Key Responsibilities and Duties
  • Oversees the monitoring, evaluating, and testing of financial records, processes, and systems.
  • Confirms the auditing of recording of transactions and compliance with applicable laws, agreements, and policies.
  • Reviews reports of findings and recommendations to management.
  • Participates in cross-functional implementation of compliance programs including analysis of transaction-level risks in operational areas.
  • Reviews documentation of business processes, risks and controls.
  • Analyzes reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
  • Coordinates the compilation of various state and federal regulatory agency filings and coordinates quarterly and annual statement mailings.
  • Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
Educational Requirements
  • University (Degree) Preferred
Work Experience
  • 3+ Years Required; 5+ Years Preferred
Physical Requirements
  • Physical Requirements: Sedentary Work
Career Level
7IC

To complement the 3+ Years Required; 5+ Years Preferred experience, desire candidates to possess:

  • Professional experience within Asset Management industry
  • Demonstrated understanding and application of the principals of Operational Risk
  • Strong relationship management skills
  • Excellent communication and influencing skills with proven ability to influence senior leaders
  • Enterprise Risk Program experience (i.e., Archer)
  • MS Office proficiency (MS Word, Excel)
  • Demonstrated ability and proficiency to create and present information to management stakeholders – crisp and impactful
  • Ability to operate with some ambiguity

NOT IN SCOPE: Coordinates the compilation of various state and federal regulatory agency filings and coordinates quarterly and annual statement mailings*

Related SkillsBusiness Process Improvement, Business Process Understanding, Commercial Acumen, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring

Anticipated Posting End Date:

Base Pay Range: $94,200/yr. - $130,600/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:

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Privacy Notices

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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.

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