TIAA Director, Compliance Officer-AML Operations-Head of Tuning and Analytics in Charlotte, North Carolina
The Enterprise Lead Compliance Officer leads planning of enterprise 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. This job manages experienced professionals responsible for identifying, investigating, and reporting compliance risks.
Key Responsibilities and Duties
Leads the Tuning and Analytics team in segmentation, threshold and configuration analytics.
Expertise in Bank Secrecy Act (BSA) regulations.
Expertise with Actimize Suspicious Activity Monitoring (SAM), Sanctions Screening (WLF) and Customer Due Diligence (CDD).
Long track record of successfully passing Model Validation, Regulatory Exams, Internal Audit and Compliance Testing audits.
Expertise as Actimize Model Owner
Expertise in scenario and threshold tuning and optimization.
Leads enterprise 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 compliance programs.
Advises management on compliance programs, policies and procedures.
Leads team members through compliance risk assessments, audits, and investigations, while training team members on best practices for identifying potential areas of compliance vulnerability and risk, as well as how to avoid or deal with problematic issues in the future.
Guides the development and implementation of corrective action plans, ensures the correction of compliance deficiencies, and provides guidance to management team on how to avoid or handle similar situations in the future.
Communicates results of compliance and ethics initiatives of the enterprise to management, including key takeaways and opportunities for improvement.
Manages performance of team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional compliance programs and to foster team member engagement, motivation, and development.
- University (Degree) Preferred
- 5+ Years Required; 7+ Years Preferred
- Physical Requirements: Sedentary Work
- Minimum of 5 years' detailed work experience with BSA/AML products such as Nice Actimize, Moody’s, Lexis Nexis Bridger or Fircosoft, Refinitiv, etc.
5 years' detailed work experience with BSA/AML products such as Nice Actimize, Moody’s, Lexis Nexis Bridger or Fircosoft, Refinitiv, etc.
Demonstrated recent success with hiring and developing a strong analytically focused team with AML/BSA or Economic Sanctions experience.
Experience with OCC 2011-12 and successfully navigating relationships with Model Risk Management, Model Validation, as well as exposure to OCC Compliance Risk Analysis Division (CRAD) focused examinations.
Current and active CAMS certification.
Advanced degree in mathematics, economics, statistics, accounting, or another analytically related field is highly preferred.
Base Pay Range: $124,300/yr. - $207,200/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).
TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.
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 (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .
We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Read more about the Equal Opportunity Law here (https://www.dol.gov/general/topics/posters) .
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Phone: (800) 842-2755
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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.
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