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All companies + Hiring difference makers. ☰ Compliance Officer-TFS Institutional Compliance TIAA1 day agoPost DateApply for JobShare this Job
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.
This Compliance Officer position is responsible for providing compliance support to the TIAA Financial Solutions (TFS) Institutional Compliance Program, with duties relating specifically to the execution of activities supporting the TFS Institutional Retirement (IR) business. The Compliance Officer will participate in conducting monitoring of first line controls, policy, procedure and process development, key controls and risk assessment, regulatory change management, training, issue management, and escalation. Further, this position will assist TFS Institutional Compliance leads in furnishing guidance to client facing staff on relevant rules and regulations in response to ad-hoc inquiries and/or strategic projects.
In addition to strong verbal and written communication as well as relationship management skills, the ideal candidate will possess detailed knowledge of Employee Retirement Income Security Act (ERISA) and Internal Revenue Code (IRC) requirements as these apply to TIAAs retirement plan record keeping, servicing, and relationship business as managed by the TFS IR team. Additionally, the candidate will have familiarity with relevant Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and state insurance department rules.
Participate in compliance risk assessments and risk-based compliance monitoring of the IR business to evaluate the adequacy and effectiveness of IRs processes, controls and systems.
Monitor and investigate unusual trends or activities that can be indicative of compliance problems within IR, collaborating where necessary with colleagues in other Compliance units such as Client Services & Technology Compliance, as well as other control partners (e.g., Risk, Law, and Compliance).
Communicate results of monitoring activities for appropriate reporting and escalation to Compliance and IR management as well as assist with the development of management action plans to remediate issues.
Assist in executing on the Compliance Regulatory Change Management program by determining the applicability of new or revised rules/regulations to the IR business, as well as coordinate with the business to operationalize resulting requirements.
Support the development and maintenance of compliance training materials and other documentation in conformity with compliance standards to ensure IR business meets and maintains compliance requirements.
Serve as a subject matter expert for ERISA, IRC, FINRA, SEC and state insurance department regulations as they apply to the IR business with respect to day-to-day compliance activities and initiatives.
Support processes around compliance metrics and scorecards for IR.
5+ years of compliance, legal, audit, operations, and/or risk experience in financial services
5+ years retirement plan record keeping and/or relationship management experience
Legal or audit experience
Prior experience using Word, Excel, and PowerPoint
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We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.
Requisition ID: 1721643
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