Enterprise Compliance Sr. Associate- Regulatory Change Management (RCM)

TIAA • Virtual, NC

6d • Hybrid

About The Position

The Enterprise Senior Associate supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. This job tests existing enterprise compliance controls within the organization to determine their effectiveness and to identify deficiencies. Under limited supervision, this job focuses on large projects and processes to identify, investigate and report compliance risks to compliance management. Correct compliance weaknesses by developing and discussing corrective action plans with Compliance Testing Directors and by preparing documentation of enterprise compliance activities to provide a record of issues and to track open issues through closure.

The Enterprise Senior Associate supports the enterprise compliance Regulatory Change Management (RCM) Program to help ensure the organization identifies, evaluates, and appropriately responds to new and amended laws, rules, and regulations. TIAA is subject to numerous legal and regulatory requirements governing its business and functional activities. To mitigate the risk of non-compliance with laws, rules, regulations, and written guidance, Enterprise Compliance maintains an inventory of key rules applicable to the TIAA enterprise and utilizes the Archer system to facilitate the RCM process. This job provides day-to-day regulatory alert processing and operational support for the RCM Program, working under limited supervision to ensure the program continues to operate without interruption, including during periods of transformation.

Requirements

• 3+ Years Required
• University (Degree) Preferred
• Proficiency in Microsoft Excel (e.g., sorting/filtering data, pivot tables, basic formulas) required for tracking and metrics reporting.
• Strong attention to detail with the ability to accurately process high volumes of regulatory alerts in a consistent, timely manner.
• Ability to work independently in an operational/BAU support capacity while following established program procedures.

Nice To Haves

• 5+ Years Preferred
• Experience with GRC platforms (Archer preferred) is a plus.

Responsibilities

• Prepares work papers to support compliance improvement work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure.
• Identifies opportunities to revise policies and procedures to improve the general operation of enterprise compliance programs.
• Helps to organize project teams by assigning individual responsibilities, developing project schedules, and determining resource requirements necessary to ensure project is successful.
• Drafts project plan and monitors progress and performance against this plan.
• Creates project status updates including cost, timing, and staffing.
• Assists in identifying and resolving obstacles to completing project on time and to budget.
• Prepares regular reports to communicate the status of the project within and beyond the project team.
• Reviews regulatory change alerts received into Archer and identifies alerts that do not apply to TIAA’s business.
• Sorts and dispositions alerts that are informational in nature and do not contain an actionable legal requirement.
• Maps actionable rules to the risk taxonomy for routing to RCM quarterbacks (stakeholders) for impact analysis and assessment.
• Updates TIAA’s GRC platform with status to ensure alerts and open items are properly tracked through to closure.
• Assists in the preparation of program metrics and status reports using Excel and other tools.
• Prepares work papers and documentation of RCM activities to provide an accurate record and to support audit and regulatory readiness.
• Identifies opportunities to improve RCM processes and supports the RCM re-design effort as needed.

Benefits

• We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.
• TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.
• TIAA maintains a drug-free and smoke/free workplace.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree