CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
All companies + Hiring difference makers. ☰ Senior Compliance Officer NewTIAA Bank5 days agoPost DateApply for JobShare this Job
As a part of TIAAs Financial Solutions business, TIAA Bank, a division of TIAA, FSB, provides full-service, nationwide banking and lending services to consumer, commercial and institutional clients through a variety of channels, including online, its Florida-based financial centers and at other business offices throughout the country.
Manages a compliance team with responsibility for significant business/product decisions supporting the Banking & Unsecured Lending products and services within TIAA Bank including, but not limited to unsecured lending, deposit product strategy, credit cards, student lending and business banking. Develops and exercises compliance business plans, policies and procedures and may also be responsible for various projects to improve efficiencies. Individual at this level has a clear understanding of the firm's different businesses and the related economics. Contributes to strategic planning and direction within area of expertise and is responsible for operational execution. With BU CCO, designs and sets compliance standards for aligned business area.
Provide compliance management and oversight for the Banking & Unsecured Lending business area by helping to develop policies and procedures in order to ensure key controls are implemented and maintained, compliance regulations and requirements are met, and proper business oversight is established.
Serve as a lead subject matter expert for supported business area on day-to-day compliance activities and initiatives.
Identify and provide guidance on operationalizing new business area regulatory requirements.
Manage processes around compliance metrics and scorecards for aligned business area.
Manage compliance risk assessments to evaluate fundamental operations and identify potential risk areas or control issues.
Oversee monitoring and investigation of unusual trends or activities that can be indicative of compliance problems.
Develop management action plans to remediate any compliance-related issues.
Prepare reports for executive management and governance reviews and assist with other high-level general compliance activities as needed. Collaborate closely with senior level Business, Legal, Risk and other Compliance partners on compliance related matters.
Sometimes interact with external regulators and internal Audit partners.
Knowledge, Skills, and Abilities Requirements
Exceptional communication and leadership skills, including ability to present to management and ability to lead a broad level of staff with a great level of confidence while demonstrating diplomacy, courtesy, and respect
Ability to collaborate with operational areas, regulators, and agencies using strong listening, facilitation, relationship development, and persuasion skills
Ability to organize, motivate, and ensure completion of deliverables by employees
Knowledge of consumer banking, business banking and/or unsecured lending products including checking accounts, savings accounts, personal loans, credit cards, student lending, CDs, debit cards, treasury services and other related products.
Expertise within consumer protection regulations supporting banking and unsecured lending products including, but not limited to Equal Credit Opportunity Act/Regulation B; Electronic Funds Transfer Act/Regulation E; Expedited Funds Availability/Regulation CC; Fair Credit Reporting Act/Regulation V; Federal Trade Commission Act, Section 5(a); Reserve Requirements of Depository Institutions/Regulation D; Servicemember Civil Relief Act; Truth In Lending Act/Regulation Z; Truth In Savings Act/Regulation DD; Unfair, deceptive, or abusive acts or practices as defined in the Dodd-Frank Act.
10+ years in compliance, risk management, legal, regulatory, or a combination thereof required
7+ years of current experience in consumer financial products and respective laws, rules and regulations required
CRCM certification preferred
Experience in providing compliance training preferred
Experience managing and directing operations with broad range of staff levels preferred
Experience with human resource guidelines, employee performance evaluations and development preferred
Experience in managing relationships with external vendors preferred
Previous experience with Internet utilization and Microsoft Office suite including Word, Excel, PowerPoint, and Visio preferred
Equal Employment Opportunity is not just the law, its our commitment. Read more about the .If you need assistance applying due to being visually or hearing impaired, please email .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. Additional Information
Requisition ID: 1722016
Previous Job Searches
Create and manage profiles for future opportunities.