Job description
Enterprise Compliance Associate
The Enterprise Compliance Associate participates in planning of 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. Working independently under general supervision, this job works with team members to identify, investigate and report compliance risks.
Key Responsibilities and Duties
Career Level
6IC
Additional Information
The Enterprise Compliance Associate participates in planning of 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. Working independently under general supervision, this job works with team members to identify, investigate and report compliance risks.
Key Responsibilities and Duties
- Participates in compliance risk assessments to identify compliance issues, concerns, and deficiencies.
Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
Supports organization and implementation of compliance audits.
Participates in the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
Drafts reports on the results of compliance and ethics initiatives of the enterprise.
Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of enterprise compliance programs as needed.
- University (Degree) Preferred
- 2+ Years Required; 3+ Years Preferred
- Physical Requirements: Sedentary Work
Career Level
6IC
Additional Information
- Role is an junior AML Investigator supporting TIAA Bank under the Bank's Financial Crimes Compliance organization
- Role requires the ability to research using bank systems and involves analytical, critical thinking skills, and effective time management skills
- A strong candidate has solid written communication skills and can summarize facts in a detailed but concise manner, following internal operating procedures
- Position will report directly to the Financial Crimes Investigations Manager
Required Qualifications
- 2 years of compliance, legal, and/or risk experience
Preferred Qualifications
- Prior Anti-money laundering (AML) experience
- Prior experience in the Banking industry
- Experience with Suspicious activity reports (SARs)
- Strong written communication skills
- Good analytical, critical thinking and time management skills
- Systems knowledge: Actimize; IBS Insight; LexisNexis
#LI-CS2
Base Pay Range: $51,800/yr. - $86,300/yr.
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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