Quality Senior Analyst Licensed

Key Responsibilities and Duties

• Perform oversight of non-compliant situations within the external supplier teams, monitoring and testing the effictiveness of their processes/controls.
• Monitors, evaluates, and tests financial records, processes, and systems.
• Audits recording of transactions and compliance with applicable laws, agreements, and policies.
• Prepares reports of findings and recommendations to management.
• Assists with undertaking fact gathering and performing investigative activity to monitor the effectiveness of implementation within the area of responsibility.
• Promotes the adoption of a controls and compliance culture through training and consulting activities.
• Assists with preparing documentation to adequately document control audits performed with supporting evidence and analysis for all findings.
• Analyzes policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
• Formulate ideas, develop processes, conduct research and communicate results to analyze performance within external supplier organization.
• Contribute to “culture of continuous improvement” by providing total quality monitoring and data used to inform management of trends and opportunities to improve line performance and to challenge assumptions regarding service delivery. Provide research that can be used to enhance client experience and strengthen the company's competitive, brand and regulatory stature with individuals, institutions, board and regulators.
• Document and explain basis for findings to ensure transparency and rationale for findings.
• Build strong and collaborative relationships with external supplier (i.e., Accenture) representatives, peers and business partners.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level 8IC

Required:

• Experience in internal audit, compliance, controls testing, or a similar oversight role, preferably within financial services or a regulated industry.
• Strong knowledge of control frameworks and regulatory requirements, with the ability to assess financial records, processes, and systems for effectiveness and compliance.
• Proven ability to analyze data, identify gaps and weaknesses in policies and procedures, and prepare clear, well-supported audit reports and recommendations for management.
• Experience working with third-party or external supplier organizations, including monitoring vendor performance, testing controls, and addressing non-compliance.
• Excellent written and verbal communication skills, with the ability to document findings, explain the basis for conclusions, and present information to management, business units, and regulators.
• Strong relationship-building and collaboration skills, with the ability to influence stakeholders, promote a controls and compliance culture, and drive continuous improvement.
• Hands-on experience with Microsoft Excel, including data analysis, pivot tables, lookup functions (VLOOKUP, XLOOKUP), and building reports or dashboards to test transactions, track control results, and support audit findings.

Related Skills

Accountability, Automation, Business Acumen-Based Communication, Business Process Understanding, Client Relationship Management, Communication, Critical Thinking, Data-Based Decision Making, Detail-Oriented, Investment Compliance, Prioritizes Effectively, Problem Solving

Anticipated Posting End Date:

2026-11-11

Base Pay Range: $75,200/yr - $104,000/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.

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