Compliance Sr Associate

Compliance Sr Associate - FINRA NRF This job 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. This job focuses the processes to identify, investigate, analyze, report, and resolve compliance risks. This job also is responsible for reviewing and updating applicable policy and procedure revisions. This job requires a NRF FINRA designation.

Key Responsibilities and Duties

• Plan and execute reviews pursuant to FINRA, SEC, and other applicable regulations in accordance with the Compliance Testing Standard Operating Procedures (SOP).
• Identify key controls; design and execute test plans, controls testing, and sampling methods to evaluate the design and operating effectiveness of key regulatory controls.
• Analyze and interpret findings.
• Document test work, observations and required remedial actions in written assessment.
• Present test results to Senior Stakeholders and craft final report.
• Track the progress and resolution of identified issues and validate management closed issues.
• Update Archer systems, as needed.
• Ability to work with third party vendors who may be engaged to provide additional independent Compliance testing.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

FINRA Registrations

• SRC Indicator: NRF

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level 7IC

Required Skills:

• 3 or more years of financial services industry experience or related work in audit, quality assurance, or testing.

Preferred Skills:

• Bachelor’s Degree in a related field such as accounting, finance, business, information systems.
• Experience with Institutional Retirement business.
• Experience working with Archer and internal business systems.
• Excellent analytical and problem-solving skills.
• Excellent written and oral communication skills.
• Able to work independently and with team members at all levels.
• Strong organizational and reporting skills.
• Good time management and the ability to handle multiple testing cycles.

Related Skills

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

Anticipated Posting End Date:

2026-11-05

Base Pay Range: $79,000/yr - $105,000/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.

Our Culture of Impact At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways - because when our people succeed, our impact on clients' lives grows stronger.

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.

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