Director Compliance Officer Wealth
Director Compliance Officer Wealth
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Salary Not Disclosed
1 Vacancy
Job Description
Compliance Officer FINRA
This job oversees broader planning for the risk and compliance support for the Wealth business including the organizations broker dealer and investment adviser businesses 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. As a recognized subject matter expert in broker dealer and investment advisory compliance this job develops and implements new processes standards or operational plans that improve the identification investigation and reporting of compliance risks.
Key Responsibilities and Duties
Oversees business unit compliance programs as well as the development implementation and revision of policies and procedures as needed to improve the communication monitoring enforcement and/or general operation of business unit risk and compliance programs.
Advises business unit(s) and/or management on risk and compliance programs policies and procedures.
Oversees compliance risk assessments to identify compliance issues concerns and deficiencies.
Advises on complex compliance investigations in response to complaints and/or potential violations of rules regulations policies and procedures.
Guides the development and implementation of corrective action plans ensures the correction of compliance deficiencies and provides guidance to business unit(s) and/or management team on how to avoid or handle similar situations in the future.
Develops and implements preventative measures and compliance processes identifies opportunities to improve the communication monitoring and/or enforcement of business unit compliance programs and recommends relevant revisions or policies and procedures to improve the general operation of business unit risk and compliance programs to management.
Communicates results of compliance and ethics initiatives of the business unit to management including key takeaways and opportunities for improvement.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 5 Years Required; 7 Years Preferred
FINRA Registrations
- SRC Indicator: Series 7; Series 24
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
9IC
Qualifications:
Required:
- 5 years in risk and compliance in a financial services industry
Preferred:
- 7 years in risk and compliance in a financial services industry
- Experience in risk and compliance in the Wealth Business
Anticipated Posting End Date:
Base Pay Range: $132700/yr. $181900/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 nonannual sales incentive plans or other nonannual incentive plans).
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 were a marketleading retirement company fueled by worldclass asset management. But were not just another legacy financial services firm. Were 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 wellbeing possible for its clients and is equally committed to the wellbeing of our associates. Thats 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 wellbeing. To learn more about your benefits please review our Benefits Summary.
Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age race color national origin sex religion veteran status disability sexual orientation gender identity or any other legally protected status.
Read more about your rights and view government notices 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:
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Required Experience:
Director
Employment Type
Full-Time
