The Enterprise Senior Associate - Personal Trading

This is a Non-Employee Contingent Worker Role providing services for TIAA’s family of companies and will be employed by TIAA's preferred 3rd Party Supplier. As a Non-Employee CW, perform a variety of moderately complex business planning, support, and project-related duties. Demonstrates an exceptional standard of quality and holds themselves accountable to achieving excellent results.

This role will sit onsite, likely in a hybrid capacity, at the location(s) listed in this posting.

The Enterprise Senior Associate supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. This job tests existing enterprise compliance controls within the organization to determine their effectiveness and to identify deficiencies. Under limited supervision, this job focuses on large projects and processes to identify, investigate and report compliance risks to compliance management. correct compliance weaknesses by developing and discussing corrective action plans with Compliance Testing Directors and by preparing documentation of enterprise compliance activities to provide a record of issues and to track open issues through closure.

Key Responsibilities and Duties

• Prepares work papers to support compliance improvement work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure.
• Identifies opportunities to revise policies and procedures to improve the general operation of enterprise compliance programs.
• Helps to organize project teams by assigning individual responsibilities, developing project schedules, and determining resource requirements necessary to ensure project is successful.
• Drafts project plan and monitors progress and performance against this plan.
• Creates project status updates including cost, timing, and staffing.
• Assists in identifying and resolving obstacles to completing project on time and to budget.
• Prepares regular reports to communicate the status of the project within and beyond the project team.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC

The Enterprise Senior Associate supports the planning for enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and to prevent illegal, unethical, or improper business practices within the organization. Under limited supervision, this job is to complete Compliance tasks as assigned by Compliance Team leadership, documenting compliance activities and tracking to completion.

Key Responsibilities and Duties

• Prepares work to support compliance work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure.
• Completes assigned compliance tasks and projects at the direction of the Compliance Team leadership
• Communicates as needed with users to inquire about data needed (account statements, reasons for compliance breaches, etc.) to complete tasks
• Utilizes Excel as well as StarCompliance and reports for completion of tasks and tracking individual items to completion.
• References multiple policies – Codes of Ethics and Personal Trading Policies – for a variety of businesses within TIAA to understand requirements based on specific business units and users.
• Responds to general inquiries from shared mailbox based on specific Codes of Ethics and Personal Trading Policies of each user.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred
• Proficient in Excel including basic formulas (e.g. vlookup)

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC

Anticipated Posting End Date:

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.

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Equal Opportunity

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