Sr Mgr, Compliance Officer

## Sr Mgr, Compliance Officer Apply remote type:
Hybrid Flex locations:
Dallas, TX, USA:
Charlotte, NC, USAtime type:
Full time posted on:
Posted Yesterday time left to apply:
End Date:
June 20, 2026 (15 days left to apply) job requisition :
R
** Compliance Officer
** The Compliance Officer implements broader planning for business unit 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 subject matter expert in investment adviser and broker-dealer compliance, this job manages large projects and processes to identify, investigate, and report compliance risks.
** Key Responsibilities and Duties
*** 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 of policies and procedures to improve the general operation of business unit compliance programs to management.
* 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 compliance programs.
* Oversees compliance risk assessments to identify compliance issues, concerns, and deficiencies.
* Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
* Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
** Educational Requirements
*** University (Degree) Preferred
** Work Experience
*** 5+ Years Required; 7+ Years Preferred
** Physical Requirements
**
* Physical Requirements:

Sedentary Work
** Career Level
** 8IC
*
* Required Experience:

*
* • 5+ years of Risk and/or Compliance experience in financial services
*
* Preferred Experience:

*
* • 7+ years of Risk and/or Compliance experience in financial services  
• Knowledge of regulatory requirements that pertain to registered investment advisers (RIAs) and broker-dealers, and experience implementing compliance programs.  
• Strong writing skills; previous experience drafting and maintaining compliance policies, SOPs, and written supervisory procedures  
• Prior experience overseeing compliance programs for dual-registered broker-dealer and investment advisers  
• Prior experience interfacing with regulators and responding to regulatory inquiries and exams.#LI-CS1

Related Skills Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
** Anticipated Posting End Date:
** Base Pay Range: $98,500/yr - $145,000/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).

** 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.
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