• TIAA-CREF Individual & Institutional Services, LLC
  • $114,255.00 -197,830.00/year*
  • Randolph Center , VT
  • Legal
  • Full-Time
  • 596 Davis Rd

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TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services. Position Summary: This position will serve as the Chief Compliance Officer for TIAA-CREF Tuition Financing, Inc. (TFI) which provides registered investment advisory, municipal advisory and plan management services to 7 state-sponsored 529 plans with $28 billion in assets under management. The candidate for the position will also provide compliance coverage for Product Solutions & Distribution and TIAA Health Solutions. The role will require strong knowledge of SEC, FINRA, MSRB and insurance regulations. The ideal candidate will have the ability to provide expert advice in a dynamic environment, assisting business partners in identification and mitigation of compliance risks and delivering strategic, practical and business-focused compliance solutions. The candidate should be skilled at providing cross-functional collaboration to achieve efficient and effective compliance risk management and meeting regulatory expectations. Responsibilities: Serve as the CCO for TFI and support Product Solutions & Distribution/TIAA Health in order to ensure key controls are implemented and maintained, compliance regulations and requirements are met, and proper business oversight is established. Serve as a subject matter expert for supported business areas on compliance activities and initiatives. Identify and provide guidance on operationalizing new regulatory requirements. Conduct compliance risk assessments to evaluate fundamental operations and to identify potential risk areas or control issues. Oversee monitoring and testing, identifying weaknesses from reports. Work with the business to develop management action plans to remediate any compliance-related issues. Prepare the Rule 206(4)-7 report and present it to the TFI Board of Directors, assist with regulatory exams, and assist with other general compliance activities. Collaborate closely with Law, Risk and Business partners. QUALIFICATIONS: Required: Bachelor s degree 10+ years of compliance experience Preferred: Experience at a financial institution with significant subject-matter expertise (product development, sales practices, and operations) or past experience as a regulator focused on investment advisor/broker-dealer matters. Series 7 and 24 or ability to obtain within 6 months of employment Legal or audit experience MBA or JD Experience with operational platform conversions Strong knowledge of Federal Reserve, FINRA, SEC, Investment Adviser s Act and MSRB regulations applicable to the marketing and sale of products, services and the supporting operations. We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status. Help us deliver on our unique mission to serve those who serve others. We'll put your talents and skills to work immediately - no waiting. To mark our 100th year, we're honoring Difference Makers by donating $1 million to the organizations they support. Thousands were nominated, and we want to share their inspiring stories with you.
Associated topics: attorney corporate, compliance, compliance department, compliance office, corporate attorney, court, lawyer, legal, llp, market

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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