Managing Director, Enterprise Senior Compliance Officer

Enterprise Sr Compliance Officer
The Enterprise Senior Compliance Regulatory Programs Officer supports the Enterprise Compliance Chief Compliance Officer (CCO) to help drive global Compliance transformation and strategic initiatives with a focus on meeting regulatory obligations and operating efficiency and effectiveness. This role will also assist in developing and maintaining a global coverage plan which defines the scope and focus of Compliance activities for a globally recognized financial services firm. Additionally, the role will focus on developing partnerships and collaborations with key stakeholders in the development and execution of strategic and risk management priorities.

Key Responsibilities and Duties

• Executes strategic initiatives and programs at the direction of the CCO and Compliance senior leadership team
• Provides strategic consulting services and thought leadership utilizing comprehensive, in-depth knowledge, expertise, and emerging industry trends
• Provides vision, direction, and expertise to experienced leadership for implementing innovative and significant business solutions that are large scale and cross organizational
• Delivers solutions that are long-term, large-scale, and require vision, creativity, innovation, advanced analytical and inductive thinking, and coordination of highly complex activities and guidance to others
• Strategically engages with all levels of professionals and managers across multiple lines of business; holds others accountable for delivery
• Keeps pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively
• Maintains a view of all initiatives to identify cross-cutting issues, efficiency opportunities, and any potential inconsistencies; identifies and manages interdependencies
• Assists in identifying, aggregating, reporting, escalating, inspecting, and challenging remediation plans; performing thematic anan Front-line and IRM Compliance-owned issues and control enhancements; and developing risk metrics and monitors related to performance and breach remediation

Educational Requirements

• University (Degree) Preferred

Work Experience

• 10+ Years Required

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
11PL

Minimum Qualifications:  

• Minimum of 7+ years of enterprise compliance experience and 3+ years of management experience.
• Experience in financial services company, or financial services consultancy firm as a compliance professional.

Preferred Qualifications:  

• Strong interpersonal skills and the ability to interact with people at all levels.
• Ability to think critically and find creative, practical solutions to achieve objectives.
• Strong oral and written communication skills including presentations and public speaking.
• Ability to adapt to and initiate change.
• Demonstrated ability to work collaboratively with cross functional groups and support senior management.
• A highly collaborative business partner who can effectively manage and influence relationships that are widely dispersed both functionally and geographically.

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

2024-11-17

Base Pay Range: $168,800/yr. - $281,300/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). 

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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