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    Manager, Compliance Officer - Charlotte, United States - TIAA

    TIAA
    TIAA Charlotte, United States

    4 weeks ago

    Default job background
    Full time
    Description

    The Compliance Officer implements broader planning for Trust and Wealth business unit fiduciary compliance programs in order 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. As a subject matter expert in compliance programs for trust bank operations, this job manages large projects and processes to identify, investigate, and report compliance risks.

    Key Responsibilities and Duties

    • Oversees compliance risk assessments to identify compliance issues, concerns, and deficiencies.
    • Develops and executes monitoring and testing plans to reasonably ensure compliance with applicable laws, regulations, and internal policies and standards.
    • Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
    • Develops and maintains policies and procedures related to trust bank fiduciary activities.
    • Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
    • Reviews and approves reports on the results of compliance and ethics initiatives of the business unit, and communicates key takeaways from reports to management.
    • Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management.
    • Participates in, prepares materials for, and presents to governance committees as required.
    • Supports the firm's response to regulatory inquiries from the OCC and other regulators as required.

    Educational Requirements

    • University (Degree) Preferred

    Work Experience

    • 5+ Years Required; 7+ Years Preferred

    Physical Requirements

    • Physical Requirements: Sedentary Work


    Career Level
    8IC

    Qualifications:

    Required Qualifications:

    • 5 years of experience in a compliance role supporting trust bank operations or administration.
    Related SkillsAdaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

    Anticipated Posting End Date:

    Base Pay Range: $111,500/yr. - $170,000/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.

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