Senior Manager, Compliance Officer

TIAA

Compliance Officer ensuring compliance with all relevant laws and regulations while managing compliance risks in financial services. Overseeing compliance programs and implementing preventative measures.

Posted 6/4/2026full-timeDallas • North Carolina, Texas • 🇺🇸 United StatesSenior💰 $98,500 - $145,000 per yearWebsite

About the role

Key responsibilities & impact

Implements broader planning for business unit compliance programs
Manages large projects and processes to identify, investigate, and report compliance risks
Develops and implements preventative measures and compliance processes
Oversees compliance risk assessments
Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.

Requirements

What you’ll need

5+ years of Risk and/or Compliance experience in financial services
Knowledge of regulatory requirements that pertain to registered investment advisers (RIAs) and broker-dealers
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.

Benefits

Comp & perks

Superior retirement program
Highly competitive health, wellness, and work life offerings

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance risk assessmentsinvestigationscompliance processesdrafting compliance policiesmaintaining compliance policiesSOPswritten supervisory procedures

Soft Skills

strong writing skills