Sr. Compliance Associate in New York, New York | DiversityInc Careers
 
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Sr. Compliance Associate

COMPANY OVERVIEW:

As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.

When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.

To be difference makers.

For more information about TIAA, visit our website.

POSITION SUMMARY:

  • Conduct field office examinations at registered branch locations as well as non-registered locations primarily in the eastern region.

  • Prepare field office examination reports detailing examination findings.

  • Follow up on issues resulting from internal and/or external compliance examinations working effectively and professionally with sales management and others to resolve any issues uncovered through such examinations.

  • Develop ongoing relationships with the offices to which you are assigned as an examiner so that you can aid in facilitating the maintenance and enhancement of effective compliance controls in those offices.

KEY RESPONSIBILITIES AND DUTIES:

  • Conduct pre-examination review of reports and data for representatives at the targeted location.

  • Schedule travel arrangements and coordinate meetings with appropriate supervisory personnel

  • Document findings from exams and identify and communicate trends.

  • Assist in the preparation and review of training materials and other communications to ensure business units meet maintain compliance requirements as well as help to educate internal clients on changes in rules and regulations and their implications for our business.

  • Identify and effectively advise management, project leaders and other employees on compliance risks, controls to mitigate those risks and ensure that business plans meet regulatory requirements.

  • Series 7 & Series 24 must be obtained within 6 months of hire.

  • Travel requirement 50% of time.
  • Conduct proactive investigations of various issues, including potential fraud and sales practice violations. These can be aimed at identifying and addressing, among other things, compliance risks, conflicts of interest, and fraudulent conduct.

QUALIFICATIONS:

Required:
  • Bachelor's degree required.
  • Series 6 is required.
  • Minimum of five years' experience in the financial services industry as a registered representative or in broker dealer operations or in broker dealer compliance is required.

Preferred:
  • Series 7 & 24 licenses are preferred.
  • Knowledge of state securities and insurance laws and regulations preferred.

  • Investigative or compliance background preferred.

  • Competency in the use of Microsoft applications (Word, VISIO and Excel)



Equal Employment Opportunity is not just the law, it's our commitment. Read more about the Equal Employment Opportunity Law.


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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as 'protected characteristics').


*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017


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