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

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: This Sr. Compliance Associate position is responsible for providing compliance support to the Enterprise Volcker Rule, Transaction with Affiliates and Enterprise Regulation W Compliance Programs. The Sr. Compliance Associate will support the Volcker Compliance point of contact to address rule implications across the Enterprise as well as support management with respect to managing the Regulation W program and Transactions between Affiliates program. The Sr. Compliance Associate will be responsible for resolution of complex questions or transactions, where expertise is required to interpret against policies, guidelines or processes. Additionally, the Sr. Compliance Associate will be called upon to assist in research and review impact of new regulation proposals, changes and guidance. The Sr. Compliance Associate will have full ownership for one or more processes, reports, procedures or products, and will primarily be focused on day-to-day deliverables and developing solutions. KEY RESPONSIBILITIES AND DUTIES: *Analyze operational procedures in order to verify compliance with applicable regulations and defined policies.
*Support with conducting compliance risk assessments as it relates to the Volker Rule, Regulation W and the Transaction with Affiliate Enterprise-wide Policy.
*Perform, risk-based compliance monitoring and validation to reasonably ensure the design and effectiveness of business area processes, controls and systems.
*Communicate results to relevant stakeholders of monitoring, validation and risk assessments to ensure proper escalation, make recommendations on findings, and aid with the development of management action plans to remediate issues.
*Liaise with Lines of Business stakeholder on action plan progress.
*Support the regulatory change management process.
*Provide compliance support in regulatory exams and inquiries, as needed.
*Assist with special departmental projects, as needed.
*Draft and update policies and procedures.

QUALIFICATIONS: Required: *Bachelor's degree is required.
*Prior Compliance experience in financial services is required.
*Prior experience performing monitoring, validation, testing and risk assessments is required.
*Minimum of five years of experience in financial services is required. Preferred: *Legal or Audit experience is a plus.
* Volcker Rule and Regulation W experience preferred.
*MBA or JD preferred.

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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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