Sr. Dir, Compliance Officer-Information Technology in New York, New York | DiversityInc Careers
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Sr. Dir, Compliance Officer-Information Technology


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Position Summary:

This Senior Director position is responsible for providing compliance expertise and partner support to the TIAA Client Service & Technology ('CS&T') business area. The IT Compliance Officer will drive the development and on-going enhancement of the IT compliance program and is responsible for ensuring high level operational execution and improving efficiency, effectiveness, productivity and controls. The IT Compliance Officer designs and sets compliance standards for the IT business areas.

The ideal candidate will have the ability to provide expert advice in a dynamic environment, assist business partners in identification and mitigation of compliance risks and deliver strategic, practical and business-focused compliance solutions. The candidate should strong understanding of IT compliance risks and be skilled at providing compliance advice to achieve efficient and effective compliance risk management and meet regulatory expectations.

Key Duties & Responsibilities:
  • Perform compliance governance and oversight activities for the IT compliance program by assisting management to enhance and maintain a compliance program in line with regulatory requirements and expectations.

  • Serve as a compliance subject matter specialist in order to ensure key controls are implemented and maintained, compliance regulations and requirements are met, and proper business oversight is established.

  • Identify and provide guidance on operationalizing regulatory requirements for new business areas.

  • Manage and execute the compliance monitoring and validation plan to reasonably ensure CS&T adherence to policies, procedures and standards.

  • Assess and evaluate IT processes for identifying, measuring, assessing, monitoring and reporting compliance risk levels to senior management and/or board of director committees.

  • Oversee IT controls and processes to evaluate fundamental operations and identify potential risk areas or control issues.

  • Oversee monitoring and investigation of unusual trends or activities that can be indicative of compliance issues and risk.

  • Develop management action plans to remediate any compliance-related issues.

  • Prepare reports for executive management and governance bodies and assist with other high-level general compliance activities as needed.

  • Collaborate closely with senior level Business, Law, Risk and other Compliance partners on compliance related matters.

  • Interact with external regulators as needed.
  • Establish and maintain relationships and communication with business unit employees to build trust and obtain the necessary information to assist in maintaining an effective compliance program.

  • Provide compliance support in regulatory examinations and inquiries.

  • Perform or assist with special departmental projects, as needed.

  • Support, as needed, Corporate Function Compliance group members with execution of monitoring and validation activities.

  • Commit to continuing education to remain current with regulations, best practices and industry trends.


  • Bachelor's degree is required
  • Prior Compliance experience in financial services is required.

  • Prior experience managing people, processes and projects is required.

  • Minimum of ten years of financial services experience.

  • Legal or audit experience is a plus.
  • 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').

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