The Risk and Compliance Senior Associate works to optimize the operation of the company's risk and compliance programs. Under limited supervision, this job helps inform the management team and Board of Directors of relevant compliance and ethics initiatives to best inform their decision making. This job also seeks to identify areas of vulnerability within the organization and helps develop corrective action plans to remediate concerns.
Key Responsibilities and Duties
- Develops, initiates and revises policies and procedures for the general operation of the business unit's compliance program and its related activities.
- Monitors compliance and ethics initiatives of the business unit and provides guidance for the management team on matters relating to compliance.
- Identifies potential areas of compliance vulnerability and risk within the organization.
- Designs corrective action plans for the resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
- Responds to alleged violations of rules, regulations, policies and procedures by evaluating or recommending the initiation of investigative procedures.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 3+ Years Required; 5+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level 7IC
Required Skills:
- Experience with regulatory compliance frameworks, industry standards, and risk management principles relevant to the business unit.
- Demonstrated ability to identify compliance vulnerabilities and risks, and to develop and implement effective corrective action plans.
- Excellent analytical and problem-solving skills, with the ability to evaluate alleged violations and recommend appropriate investigative or remedial actions.
- Strong communication and interpersonal skills, with the ability to advise management teams and present compliance-related guidance clearly and effectively.
Preferred Skills:
- Experience developing, drafting, or revising compliance policies and procedures within a corporate or regulated environment.
- Familiarity with reporting compliance initiatives and risk assessments to senior leadership or Board-level stakeholders.
- Professional certification such as Certified Compliance and Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), or equivalent.
- Experience working independently under limited supervision while managing multiple compliance priorities in a fast-paced environment.
Related Skills
Adaptability, Collaboration, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting
Anticipated Posting End Date:
2026-11-06
Base Pay Range: $85,400/yr - $126,000/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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