TIAA

Enterprise Compliance Sr Associate

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

• Oversee regulatory review and support for Spanish language communications and materials.
• 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 with a positive attitude. 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.

Preferred Qualifications:

• 5+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience.
• Professional fluency in and comprehension of Spanish language materials, as well as financial literacy in the Spanish language. This includes the ability to read, write, speak, and translate both English and Spanish language content.
• Series 24 securities license preferred or must be obtained within 6 months of hire.
• Wealth management, broker-dealer, or registered investment adviser experience.
• Life insurance and annuity experience.
• Former regulator a plus.
• Experience working in a high performance, fast paced environment and have 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.
• Must have exemplary written and oral communication skills, which translates to the ability to interact effectively with business partners and colleagues.
• 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.
• Demonstrated knowledge of a broad range of financial products and related regulatory requirements. TIAA products/services acumen a plus.
• Technologically adept and savvy, both in terms of marketing’s use of technology and the deployment of leading technology in relation to compliance processes.
• Ability to exercise sound judgement in decision-making and problem-solving, being a forward thinker, able to anticipate problems and propose recommended solutions.

#LI-KD2

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:

2025-05-23

Base Pay Range: $76,000/yr - $111,300/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 us.

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.

Read more about your rights and view government notices here.

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If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

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