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Director, Enterprise Compliance Officer

4 months ago

Frisco, Texas, United States TIAA Full time

The Enterprise Compliance Officer is responsible for providing dedicated support for Wealth Management in administering the global regulatory review process for the approval of communications and managing the team that provides advice and guidance regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards, and disclosure guidelines. This individual will serve as both a key strategic leader in the department to the head of Enterprise Communications Compliance and a hands-on manager to drive implementation of strategic risk-based Compliance initiatives and deliver on performance relative to the advisory support of TIAA's marketing activities. In addition, the role will provide Compliance thought leadership and oversight in relation to marketing initiatives in emerging areas of communications efforts.

Key Responsibilities and Duties

  • Lead, manage and develop a diverse team of Compliance professionals fostering a consistency in work product and approach and optimizing the use of resources to ensure defined service level standards with business partners continue to be met or exceeded, both in terms of timeliness and quality. Ensure timely and sufficient filing of required materials with the regulators and states, where needed.
  • Help direct workload within the Compliance team to ensure the coverage model is organized to enable the reviewers to perform at the highest levels of efficiency and effectiveness as one cohesive team, partnering with other pod leads to help conduct reviews of complicated or sensitive marketing materials, reassignment of any overflow in the queue, and management of expectations across teams when reprioritization occurs. In addition, managing rapid response and escalations, where needed.
  • Develop and maintain relationships with Marketing leaders and other business partners/colleagues to stay abreast of new campaigns, initiatives, business needs, product launches and actions, and to obtain regular feedback on the performance of the team. Liaison with local jurisdictional offices, affiliates, and legal subject matter experts regarding complex matters.
  • Keep abreast of all changes in regulatory requirements that may impact the Enterprise Communications Compliance program, regular report updates regarding outlook on any trends and analysis and play a key role in implementing any necessary changes to standards and providing recommendations to disclosure requirements, standards, rules of the road, and guardrails requiring subject matter expertise from this area of coverage.
  • Support Power Hours and other cross-training opportunities of the review team, building depth and breadth of expertise, while strengthening the overall department's efforts of coming together as a high-performing, high-functioning team.
  • Provide solutions and ideas for continued process improvement as we continue to simplify and innovate even further to champion change to help drive better outcomes for our team and our business partners.
  • Lead special projects and other assignments as needed.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level

9PL

REQUIRED EXPERIENCE:

  • 5+ years compliance, marketing or advertising compliance and/or sales practices within financial services

PREFERRED EXPERIENCE:

  • 7+ years compliance, marketing or advertising compliance and/or sales practices within financial services
  • Preferred Series 7 and Series 24 Securities Registration or ability to obtain within 120 days of hire date
  • Experience with Microsoft Office (Word, Excel and PowerPoint)
  • Experience managing a team
  • Experienced Problem Solver
  • Experienced in Risk or Compliance

#LI-CS1

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

Base Pay Range: $126,800/yr. - $200,000/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).


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 ) .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

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 ) .

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

EEO is the Law )

Pay Transparency

Philadelphia Ban the Box )