Enterprise Compliance Sr Associate – Wealth Marketing

Serve as a member of the TIAA Marketing & Communications Compliance (“MCC”) team, providing advice and guidance regarding the applicability of regulatory requirements, internal review standards, and disclosure guidelines, including review and documenting the approval of marketing materials. In addition, the role will provide compliance thought leadership and solutions regarding the approach to innovative marketing initiatives. Primary daily tasks involve the review of marketing materials for compliance with rules, regulations, firm policies, procedures, and other regulatory or reputational risks to the firm.

MCC works closely with other departments, including but not limited to broker-dealer compliance, RIA compliance, product compliance, and legal. This individual will serve as a key strategic partner to collaborate on broader issues relative to the support of the organization’s marketing activities. This role requires in-depth industry knowledge, regulatory acumen, and a strong understanding of applying FINRA, NAIC, MSRB, and SEC marketing rules.

This role also requires knowledge regarding state insurance rules, Reg BI, and advertising regulations, to support lifetime income, annuity products, and wealth management materials offered by TIAA.

Key Responsibilities and Duties

• Review advertising, marketing, and creative portfolios (“marketing communications”) for compliance with regulations and internal standards.
• Coordinate effectively with key stakeholders, including legal and business partners, to resolve potential issues, and facilitate agreement on final positioning, inclusive of guardrails where appropriate.
• Develop and communicate recommendations that support adherence to regulations and industry best practices.
• Inform marketing partners of changes in regulatory requirements relating to marketing materials and assist with implementing procedural revisions to ensure compliance.
• Support ongoing maintenance of disclosure libraries, internal guidance, and review checklists to keep resources current and relevant. Assist with periodic reviews of disclosure guides and monitoring for consistency in disclosure application methodologies.
• Provide exceptional customer service and support to internal partners in a solution-oriented manner. Set appropriate expectations in turnaround of materials to ensure defined service level standards continue to be met or exceeded, both in terms of timeliness and quality.
• Research complex issues and define required actions for resolution. Escalate appropriately to management where needed.
• Assist with internal and external examinations and audits, including ongoing program administration and review of other materials as needed.
• Opportunities to lead, perform, and participate in special projects and other duties as assigned.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements:
  
  Sedentary Work

Career Level
7IC

Required Qualifications:

• 3+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience. General compliance experience will also be considered.

• FINRA Series 7 and Series 24 licenses.

Preferred Qualifications:

• 5+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience.

• Wealth management, broker-dealer, registered investment adviser, and 529 plan experience.

• Life insurance and annuity experience.

• Former regulator a plus.

• Experience working in a high performance, fast paced environment with exceptional partnering skills as teamwork and collaboration are highly valued.

• Strong analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.

• Exceptional written and verbal communication skills with the ability to build productive relationships and collaborate effectively across all levels of the organization.

• Must be able to articulate regulatory considerations and concerns, keeping abreast of regulatory developments surrounding marketing compliance and be able to nimbly respond to a rapidly changing and complex regulatory environment.

• Demonst…