AVP, Compliance Advisor (Distribution Compliance (America))
TIAA•Chicago, IL
•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
- Working knowledge of a wholesale broker-dealer distribution model
- 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
Benefits
- superior retirement program
- highly competitive health, wellness and work life offerings
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
