Sr Mgr, Compliance Officer

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: 2026-06-20 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. Our Culture of Impact 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 when our people succeed, our impact on clients' lives grows stronger. 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. 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For Applicants of Nuveen residing in Europe and APAC, please click here. TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being. 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. Nondiscrimination & Equal Opportunity Employment TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace. EEO is the Law Pay Transparency Philadelphia Ban the Box