Job description
Enterprise Compliance Officer - TIAA Bank
The Enterprise Compliance Officer oversees planning for enterprise 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 recognized preeminent expert in Compliance, this job develops and implements new processes, standards or operational plans that improve the identification, investigation, and reporting of compliance risks.
Key Responsibilities and Duties
Career Level
8IC
Additional Key Responsibilities
The Enterprise Compliance Officer oversees planning for enterprise 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 recognized preeminent expert in Compliance, this job develops and implements new processes, standards or operational plans that improve the identification, investigation, and reporting of compliance risks.
Key Responsibilities and Duties
- Oversees enterprise 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 compliance programs.
Advises management on compliance programs, policies and procedures.
Oversees compliance risk assessments to identify compliance issues, concerns and deficiencies.
Advises on complex compliance investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
Guides the development and implementation of corrective action plans, ensures the correction of compliance deficiencies and provides guidance to management team on how to avoid or handle similar situations in the future.
Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of enterprise compliance programs, and recommends relevant revisions or policies and procedures to improve the general operation of enterprise compliance programs to management.
Communicates results of compliance and ethics initiatives of the business unit to management, including key takeaways and opportunities for improvement.
- University (Degree) Preferred
- 5+ Years Required; 7+ Years Preferred
- Physical Requirements: Sedentary Work
Career Level
8IC
Additional Key Responsibilities
- Records Management experience preferred
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
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Company Overview
TIAA Bank, a division of TIAA, FSB, provides nationwide banking services to consumer and commercial clients through a variety of channels, including online and mobile applications, as well as its Florida-based financial centers.
TIAA has entered into a definitive agreement to sell TIAA Bank to new investors with extensive experience in financial services, as part of the company’s strategy to refocus on its core retirement business and Nuveen, the company’s asset manager. When the transaction is complete, in 2023, TIAA will retain a non-controlling stake in the bank, demonstrating the company’s confidence in the bank’s future success.
Benefits and Total Rewards
The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our
Benefits Summary
.
Equal Opportunity
We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Read more about the Equal Opportunity Law
here
.
Accessibility Support
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.
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:
Phone: (800) 842-2755
Email:
accessibility.support@tiaa.org
Privacy Notices
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For Applicants of TIAA, Nuveen and Affiliates residing in California, please click
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.
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