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As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.


When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.


To be difference makers.


For more information about TIAA, visit our website.




 As the Advice Risk and Controls Manager, one of your primary focuses will be providing oversight and coordination of advice related processes. This individual will be responsible for assisting in the development and maintenance of a formalized process and advice review framework and serving as a point of contact in assessing and communicating new and existing controls, business line testing and documentation of those controls, vendor management and helping to develop policies and procedures to ensure they properly align with regulation, consistency of advice across the firm, as well as satisfy appropriate levels of control.  Through collaboration with business partners across the enterprise actively promote and monitor ongoing adherence to advice governance structure, controls, and an overall culture of compliance. An emphasis on automated controls and scalable processes is required. 


This role is a new role and the individual must be flexible and be able to absorb other duties.



          Maintain a formal change management framework designed to 

          effectively and efficiently evaluate change initiatives across advice &       planning

         Perform ongoing oversight of policies, procedures, training, and controls

         Assist in the identification of potential emerging risks or trends that may require changes business processes or training

         Establish and maintain effective relationships with those contacted in the course of work

         Experience in working within ambiguous and evolving regulatory environments to deliver practical business solutions.



         3+ years of experience of Financial Services experience

         Strong data analysis skill, including proficiency with Tableau or similar big data visualization tool

         Familiar with automated operational controls and oversight processes

         Experience using business process modeling tools (such as Visio)

         Self-driven, motivated, problem solver who proactively seeks new tasks and challenges.

         Ability to work independently as well as part of a team, be detail oriented

         Networks with colleagues, senior personnel, peers and staff on a regular basis, in own area of expertise, to resolve issues, gain needed information and influence outcomes for group.

         Gains cooperation and commitment to take action from colleagues, management, customers and external contacts as needed

         Ability to write well

         Advanced in spreadsheet, reporting and presentation tools (Excel, Access, PowerPoint, and other Microsoft Office applications)

Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

If you need assistance applying due to being visually or hearing impaired, please email Careers Help.

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.

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