Compliance Associate

The Compliance Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under limited supervision, this job focuses on large projects and processes to identify, investigate, and, report compliance risks, and provides recommendations for revisions to policies and procedures.

Key Responsibilities and Duties

Perform pre-examination review of reports and data for representatives at the targeted location.

Schedule travel arrangements and coordinate meetings with appropriate supervisory personnel.

Support and conduct office inspections of the individual Office of Supervisory Jurisdiction (OSJs), registered Branch Offices, and non-registered locations.

Document findings from inspections and communicate these to management and business partners. Perform follow up as necessary.

Identify and effectively advise management, project leaders, and other employees on compliance risks, controls to mitigate those risks, and ensure that business plans meet regulatory requirements.

Conduct proactive investigations of various issues, including potential fraud and sales practice violations. These can be aimed at identifying and addressing, among other things, compliance risks, conflicts of interest, and fraudulent conduct.

Educational Requirements

University (Degree) Preferred

Work Experience

2+ Years Required; 3+ Years Preferred

FINRA Registrations

SRC Indicator: Series 6 or 7; Series 26 or 24

Physical Requirements

Physical Requirements: Sedentary Work

Career Level
6IC

We are hiring for multiple positions of this role.

Required Qualifications:

2+ years in financial services compliance, internal or external audit, internal control or other testing experienceKnowledge of FINRA, SEC, MSRB and state securities and insurance laws and regulations

Preferred Qualifications:

3+ years in financial services compliance, internal or external audit, internal control or other testing experienceBachelor’s DegreeSeries 6 or Series 7, registration must be obtained within 6 months of hireSeries 26 or Series 24, registration must be obtained within 6 months of hireStrong Microsoft Office skills (Word and Excel / pivot tables)Flexibility for approximately 10% overnight and/or day travel

#LI-KD2

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

2025-02-27

Base Pay Range: $62,300/yr. - $89,000/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location.  In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans). 

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Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We 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 protected status.

Read more about the Equal Opportunity Law here.

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities. 

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team: 

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

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