Compliance Associate
The Compliance Advisor assists with 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 general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and DutiesSupports compliance risk assessments to identify compliance issues, concerns, and deficiencies. \nAssists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.\nSupports organization and implementation of compliance audits.\nAssists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.\nDrafts reports on the results of compliance and ethics initiatives of the business unit.\nMaintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents. \nAssists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed. Educational RequirementsUniversity (Degree) PreferredWork Experience2+ Years Required; 3+ Years PreferredPhysical RequirementsPhysical Requirements: Sedentary Work
Career Level
6IC

The Compliance Associate supports broader planning of privacy compliance programs in order to ensure organization functions are in compliance with relevant privacy laws, regulations, policies, and standards. Working in partnership with US-based Compliance officers, 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 Duties & Responsibilities: 

Organizes and performs privacy compliance risk assessments and monitoring activities to identify compliance issues, concerns, and deficiencies. Performs all phases of privacy compliance monitoring activities, including developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports. Supports the gathering of evidentiary documentation from business partners in response to various privacy risk and compliance assessments.  Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected Works cross-functionally with the TIAA Enterprise Privacy Office (EPO) to provide a unified approach to address privacy risk across TIAA.  Cultivates partnerships across lines of business with cross-functional stakeholders responsible for privacy. Compiles privacy risk and compliance operational metrics that may be used for management and committee reporting 

Management/Leadership Responsibility: 

 N/A 

Budget Responsibility:

N/A   

Impact: 

Nature of Impact –  Monitoring and validating that our organization is compliant with federal and international regulations.  

Area of Impact - Works extensively across departments e.g. legal, cybersecurity, data management, and IT 

Problem Solving: 

Analytical skills are needed to collect and conduct initial assessment of various metrics data; execute monitoring responsibilities; and facilitate administration of the privacy impact assessments that will need to be reviewed, monitored and decisioned on according to internal procedures.   

Functional Knowledge: 

Knowledge of global Privacy regulations a plus. 

Business or Industry Knowledge

A thorough understanding of compliance program elements (e.g., monitoring, procedures administration) 

Interactions / Interpersonal Skills: 

Excellent verbal, written and interpersonal communication skills. 

Job Requirements And Qualifications: 

Required Education: 

Preferred Education: 

​​Masters​ 

Required Experience: 

​​3-5 years​ 

Preferred Experience: 

​​5-7 years​ 

Skills and Abilities: 

Knowledge of compliance, risk management, legal or related function Familiar with privacy laws and regulations, including GDPR, CCPA, CANSPAM, TCPA, and the FCRA. Shift timings 3:00 PM IST to 12:00 AM IST (as the role require adequate oversight from US Compliance officers) 

Required Licenses/Certifications: 

None 

Required Licenses/Certifications: 

​​None    ​ 

Related Skills

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

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Company Overview

TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA Global Capabilities is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.

 
Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

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.

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

Privacy Notices

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