Compliance Associate - FINRA

This job assists with broader planning of business unit compliance programs 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, assists team members with identifying, investigating, and reporting compliance risks.

• Supports 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.
• Assists with 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 business unit.
• 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 business unit compliance programs as needed.

• University (Degree) Preferred

• 2+ Years Required; 3+ Years Preferred

• SRC Indicator:
  Series 7;
  Series 24

• Physical Requirements:
  
  Sedentary Work

6IC

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

$64,700/yr - $82,800/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).

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.

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values:
Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact.

Here, every associate can grow through meaningful learning experiences and development pathways—because…