Enterprise Compliance Sr Associate - Multilingual (Spanish)

Enterprise Compliance Sr Associate

Serve as a member of the TIAA Marketing & Communications Compliance (“MCC”) team, providing advice and guidance regarding the applicability of regulatory requirements, internal review standards, and disclosure guidelines, including review and documenting the approval of marketing materials. In addition, the role will provide compliance thought leadership and solutions regarding the approach to innovative marketing initiatives. Primary daily tasks involve the review of marketing materials for compliance with rules, regulations, firm policies, procedures, and other regulatory or reputational risks to the firm. MCC works closely with other departments, including but not limited to broker-dealer compliance, RIA compliance, product compliance, and legal. This individual will serve as a key strategic partner to collaborate on broader issues relative to the support of the organization’s marketing activities. This role requires in-depth industry knowledge, regulatory acumen, and a strong understanding of applying FINRA, NAIC, MSRB, and SEC marketing rules. This role also requires knowledge regarding state insurance rules, Reg BI, and advertising regulations, to support lifetime income, annuity products, and wealth management materials offered by TIAA.

Key Responsibilities and Duties

• Oversee regulatory review and support for Spanish language communications and materials.

• Review advertising, marketing, and creative portfolios (“marketing communications”) for compliance with regulations and internal standards.

• Coordinate effectively with key stakeholders, including legal and business partners, to resolve potential issues, and facilitate agreement on final positioning, inclusive of guardrails where appropriate.

• Develop and communicate recommendations that support adherence to regulations and industry best practices.

• Inform marketing partners of changes in regulatory requirements relating to marketing materials and assist with implementing procedural revisions to ensure compliance.

• Support ongoing maintenance of disclosure libraries, internal guidance, and review checklists to keep resources current and relevant. Assist with periodic reviews of disclosure guides and monitoring for consistency in disclosure application methodologies.

• Provide exceptional customer service and support to internal partners with a positive attitude. Set appropriate expectations in turnaround of materials to ensure defined service level standards continue to be met or exceeded, both in terms of timeliness and quality.

• Research complex issues and define required actions for resolution. Escalate appropriately to management where needed.

• Assist with internal and external examinations and audits, including ongoing program administration and review of other materials as needed.

• Opportunities to lead, perform, and participate in special projects and other duties as assigned.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC