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Compliance Associate - FINRA at TIAA - ApplyBlast

Compliance Associate - FINRA

TIAA

4 days ago

3.6 on Glassdoor

Charlotte, North Carolina, United States

Onsite

Full Time

Junior

0 applicants

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About this role

This role supports the planning and execution of business unit compliance programs to ensure adherence to laws, regulations, and policies. The associate assists in identifying, investigating, and reporting compliance risks while helping to implement corrective actions and preventative measures. The position involves drafting reports, maintaining compliance documentation, and contributing to the revision of policies and procedures.

Responsibilities

Support compliance risk assessments to identify issues and deficiencies
Assist with investigations of complaints and potential rule violations
Design and implement corrective action plans to resolve compliance issues

Skills

About TIAA

tiaa.org

Headquarters

New York, New York, United States

Company Size

10001+ employees

Founded

1918

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At TIAA, we believe everyone deserves a secure retirement. Explore our annuities, retirement plans, financial planning, investing & wealth management solutions.