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Compliance Officer- Broker Dealer Compliance & Registered Investment Advisor

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Legal, Compliance, & Risk
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TIAA
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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.

 
Position Summary:
 

The Broker Dealer (BD) and Registered Investment Advisor (RIA) Compliance role is responsible for providing compliance coverage to the products offered through Advice and Planning Services (APS).  The individual will serve as a Compliance Officer providing coverage regarding the sale and distribution of BD and RIA, policy review and updates, review of services and tools offered by the programs.  In addition, the individual will be involved in the monitoring activities to ensure the supervisory review process for the BD and RIA are following the Written Supervisory Procedures and are meeting the regulatory requirements.  The Individual will be expected to be a subject matter expert and must be able to work independently and with a high level of professionalism.

 

Responsibilities will include but are not limited to:

  • Provide BD/RIA compliance support for distribution and servicing of products and services in order to ensure key controls are implemented and maintained to ensure compliance requirements are met and proper business oversight is established. 
  • Support ongoing compliance efforts and serve as subject matter expert within the Compliance team on day-to-day performance of compliance activities; support compliance related initiatives.
  • Strong knowledge of FINRA rules and regulations and the Investment Advisers Act of 1940.
  • Assisting in the production of the Annual 206(4)-7 Compliance Review.
  • Support compliance risk assessments and evaluate fundamental operations and compliance control issues.
  • Perform risk-based compliance monitoring to ensure the adequacy and effectiveness of systems, processes and controls used to achieve compliance and identify potential compliance and/or control risks and opportunities for compliance checks and control enhancements to mitigate regulatory risk. Communicate results of monitoring activities for proper escalation and creation of management action plans to remediate issues.
  • Collaborate closely with Business, Law, Risk and other Compliance partners on compliance related matters.
  • Support development and maintenance of compliance policies, training materials and other documentation in conformity with compliance standards to ensure business units meet and maintain compliance requirements.
 
 

Required Qualifications:
  • Bachelor’s degree
  • 5+ years of Broker Dealer and/or RIA compliance experience
 
Preferred Qualifications:
  • Master’s Degree
  • Series 7 and Series 24 or ability to obtain within 6 months of hire
  • 7+ years working within a legal, compliance or business unit in a financial services firm distributing and servicing RIA/BD products
  • Background or experience in a relevant regulatory agency a plus
  • Previous experience working with regulatory authorities desirable
  • Strong organizational and reporting skills
  • Strong executive presence and relationship management skills
  • Excellent quantitative, analytical and problem solving skills
  • Excellent written and oral communication skills including presentation and public speaking skills
  • Able to work independently and collaboratively with team members at all levels
  • Proficient with technology and information systems
  • Strong Microsoft Office skills (Word, VISIO and Excel)
  • Pivot tables in Excel
 
 
 

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 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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