AVP, Compliance Advisor (Distribution Compliance (America))

TIAA•Chicago, IL

3d•$87,800 - $119,000•Onsite

About The Position

The AVP, Distribution Compliance supports the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity. This role executes day-to-day compliance operations and advises the business on regulatory and compliance matters. Working knowledge of a wholesale broker-dealer distribution model is a plus but not required.

Requirements

3 or more years of experience in regulatory compliance within financial services industry
Experience with a distribution-oriented broker-dealer business model
Familiarity with Alternatives asset classes, including registered and unregistered funds
Series 7 and Series 24 licenses required, or ability to obtain both within 120 days from the date of hire.

Nice To Haves

5 or more years of experience in a regulatory compliance within financial services industry
Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
Bachelor's degree
High proficiency in Microsoft Excel and PowerPoint

Responsibilities

Advise business partners on regulatory requirements and internal policies and procedures
Develop and maintain policies and procedures supporting regulatory compliance
Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
Execute monitoring activities and forensic reviews, document results, and drive remediation
Administer regulatory due diligence for broker-dealer and Canadian distribution arrangements, including product-related compliance matters
Administer aspects of licensing and registration for the broker-dealer and Canadian entity
Monitor regulatory developments and industry trends affecting the compliance programs
Support document production for audits, testing, and regulatory examinations