Sr. Associate – Enterprise Compliance
| Company | TIAA |
|---|---|
| Location | Dallas, TX, USA, Charlotte, NC, USA |
| Salary | $76000 – $121000 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior |
Requirements
- 3+ years of working experience within compliance, finance or securities.
Responsibilities
- Onboarding and designation of employees under the company’s Codes of Ethics/Personal Trading Policies.
- Review of associate personal trading activity and disclosure of accounts to ensure policy and regulatory compliance.
- Assist team in coordination and management of personal trading certification process.
- Help to develop and enhance EC desk procedures, job aides, associate reference guides and training course materials.
- Assist in the coordination and reporting of personal trading metrics in connection with monthly, quarterly and annual reports.
- Respond to employee inquiries and provide subject matter expertise, guidance, and policy interpretation for ethics matters raised by employees.
- Assist the EC team with special projects.
Preferred Qualifications
- 5+ years of working experience within compliance, finance or securities.
- Knowledge of relevant securities laws and practices.
- Strong Microsoft Suite skills and Excel proficiency including use of vlookups and pivot tables.
- Excellent verbal, written and interpersonal communication skills.
- Ability to interact with all levels of the organization including the Executive Management Team.
- Ability to collaborate across business lines to handle conflicts.
- Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
- Ability to work independently and adapt to changing and competing priorities.
- Experience in the asset management segment of the industry a plus.
- Experience with personal trading surveillance systems/tools ideal.