- Extensive domestic travel is required, must be able to travel up to 50% or more as needed.
- Perform pre-examination review of reports and data for representatives at the targeted location.
- Schedule travel arrangements and coordinate meetings with appropriate supervisory personnel.
- Conduct office inspections of the Office of Supervisory Jurisdiction (OSJs), registered Branch Offices, and non-registered locations. Document findings from inspections and communicate these to management and business partners. Perform follow up as necessary. Identify and effectively advise management, project leaders, and other employees on compliance risks, controls to mitigate those risks, and ensure that business plans meet regulatory requirements. Conduct proactive investigations of various issues, including potential fraud and sales practice violations. These can be aimed at identifying and addressing, among other things, compliance risks, conflicts of interest, and fraudulent conduct.
- University (Degree) Preferred
- 3+ Years Required; 5+ Years Preferred
- SRC Indicator: Series 7; Series 24
- Physical Requirements: Sedentary Work
- 3 years in financial services compliance, internal or external audit, internal control or other testing experience
- Series 7, registration must be obtained within 6 months of hire.
- Series 24, registration must be obtained within 6 months of hire.
- Knowledge of FINRA, SEC, MSRB and state securities and insurance laws and regulations
- 5+ years in financial services compliance, internal or external audit, internal control or other testing experience
- Series 6
- Bachelor's Degree
- Strong Microsoft Office skills (Word and Excel / pivot tables)
- Prior experience utilizing the Archer risk management suite
- Travel overnight and day travel is a must. Related SkillsAdaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
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Sr. Compliance Associate - Charlotte, United States - TIAA
Description
The Compliance Senior Associate supports broader planning of business unit compliance programs to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under limited supervision, this job focuses on large projects and processes to identify, investigate, and, report compliance risks, and provides recommendations for revisions to policies and procedures.
Key Responsibilities and Duties
Educational Requirements
Work Experience
FINRA Registrations
Physical Requirements
Career Level
7IC
Qualifications:
Required:
Preferred:
Anticipated Posting End Date:
Base Pay Range: $71,300/yr. - $102,500/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.
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