Sr Mgr, Compliance Officer
TIAA•Frisco, TX
•$98,500 - $145,000•Onsite
About The Position
The Compliance Officer implements broader planning for 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. As a subject matter expert in investment adviser and broker-dealer compliance, this job manages large projects and processes to identify, investigate, and report compliance risks.
Requirements
- 5+ years of Risk and/or Compliance experience in financial services
- Knowledge of regulatory requirements that pertain to registered investment advisers (RIAs) and broker-dealers, and experience implementing compliance programs.
- Strong writing skills; previous experience drafting and maintaining compliance policies, SOPs, and written supervisory procedures
- Prior experience overseeing compliance programs for dual-registered broker-dealer and investment advisers
- Prior experience interfacing with regulators and responding to regulatory inquiries and exams.
Nice To Haves
- 7+ years of Risk and/or Compliance experience in financial services
Responsibilities
- Develops and implements preventative measures and compliance processes.
- Identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs.
- Recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management.
- Oversees business unit compliance programs as well as the development, implementation and revision of policies and procedures as needed to improve the communication, monitoring, enforcement and/or general operation of business unit compliance programs.
- Oversees compliance risk assessments to identify compliance issues, concerns, and deficiencies.
- Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
- Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
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
Manager
Education Level
Associate degree
