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Director, Compliance Officer (Wealth)

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Compliance Officer - FINRA

This job oversees broader planning for the risk and compliance support for the Wealth business including the organization’s broker dealer and investment adviser businesses, 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 subject matter expert in broker dealer and investment advisory 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 business unit 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 business unit risk and compliance programs.
Advises business unit(s) and/or management on risk and 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 business unit(s) and/or 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 business unit compliance programs, and recommends relevant revisions or policies and procedures to improve the general operation of business unit risk and compliance programs to management.
Communicates results of compliance and ethics initiatives of the business unit to management, including key takeaways and opportunities for improvement.

Educational Requirements

University (Degree) Preferred

Work Experience

5+ Years Required; 7+ Years Preferred

FINRA Registrations

SRC Indicator: Series 7; Series 24

Physical Requirements

Physical Requirements: Sedentary Work

Career Level
9IC

Qualifications:

Required:

5+ years in risk and compliance in a financial services industry

Preferred:

7+ years in risk and compliance in a financial services industry
Experience in risk and compliance in the Wealth Business

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

2025-05-02

Base Pay Range: $132,700/yr. - $181,900/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

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

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 Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Read more about your rights and view government notices 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

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.

For Applicants of TIAA Global Capabilities, click here.

For Applicants of Nuveen residing in Europe and APAC, please click here.

TIAA Glassdoor Company Review

3.9

TIAA DE&I Review

No rating

CEO of TIAA

Thasunda Brown Duckett

Approve of CEO

Average salary estimate

$157300 / YEARLY (est.)

min

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$132700K

$181900K

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What You Should Know About Director, Compliance Officer (Wealth), TIAA

Join TIAA as a Director, Compliance Officer (Wealth) based in the vibrant city of Frisco, Texas! This pivotal role is designed for an experienced compliance professional ready to take on the exciting challenges posed by the wealth management sector. As a seasoned expert in broker dealer and investment advisory compliance, you will lead the risk and compliance programs, ensuring our business operates within all applicable laws and regulations. You'll be strategizing to prevent unethical practices and enhance our compliance frameworks. Your days will be spent developing procedures that elevate our compliance standards while offering guidance to various business units. You'll find yourself conducting detailed compliance risk assessments and advising on complex investigations related to compliance concerns. If you love to make a tangible impact by implementing corrective action plans and building a culture of compliance, this position is just for you! With over 5 years of experience in risk and compliance within the financial services industry, and a knack for strategic thinking and relationship management, you will contribute significantly to our mission of securing the financial well-being of our clients. At TIAA, you won’t just have a job; you’ll join a community striving for a secure retirement for millions. Dive into a role where your expertise will shine and provide essential guidance to our teams—all while enjoying competitive benefits as part of our commitment to your well-being.

Frequently Asked Questions (FAQs) for Director, Compliance Officer (Wealth) Role at TIAA

What qualifications do I need to apply for the Director, Compliance Officer position at TIAA?

To apply for the Director, Compliance Officer position at TIAA, you should have a minimum of 5 years of experience in risk and compliance within the financial services industry, with a preferred 7 years. You’ll also need relevant FINRA registrations, specifically Series 7 and Series 24, which demonstrate your expertise in broker dealer and investment advisory compliance processes.