Senior Manager, Compliance Officer
Senior Manager, Compliance Officer at TIAA — Dallas, TX, US
- Company: TIAA
- Location: Dallas, TX, US
- Employment type: Full-time
- Salary: $105,000–$135,000 a year
- Posted: 2026-10-01
About this role
Compliance Officer
This role will support compliance and risk management activities for TIAA Wealth & Advice and the registered investment advisers and broker-dealer entities that support this line of business. The Compliance and Risk Officer will implement broader planning for business unit compliance and risk programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies, and that risk and control programs are well executed. As a subject matter expert in compliance and risk management, this job manages large projects and processes to identify, investigate, and report risks.
Key Responsibilities and Duties
- Oversees risk assessments to identify issues, concerns, and deficiencies.
- Develops and oversees risk tolerance guidelines and policies, ensuring the risk of exposure of the organization remains within the guidelines and, if not, that there is appropriate go to green plans to remediate.
- Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
- Assesses best practices, processes, and control environment to ensure appropriate frameworks are in place to manage risk.
- Evaluates and modifies risk management frameworks to better manage and report aggregate global risk exposures.
- Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
- Reviews and approves reports on the results of compliance and risk management initiatives of the business unit, and communicates key takeaways from reports to management.
- Develops and implements preventative measures and processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance and risk programs to management.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 5+ Years Required; 7+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
8IC
Qualifications:
Required:
- 5+ years of experience in financial services Risk, Compliance, or Audit.
Preferred:
- 7+ years of experience in financial services Risk, Compliance, or Audit.
- Understanding of registered investment adviser and broker-dealer compliance obligations and risk programs.
- Knowledge of operational risk and/or enterprise risk management programs.
- Ability to manage multiple tasks concurrently and execute work with limited guidance.
- A highly collaborative business partner who can effectively partner with colleagues that are widely dispersed both functionally and geographically.
- FINRA Series 7/24 preferred
Related Skills
Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
Anticipated Posting End Date:
2026-10-01
Base Pay Range: $105,000/yr - $135,000/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.
Our Culture of Impact
At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.
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.
Our full EEO & Non-Discrimination statement is on our careers home page, and you can read more about your rights and view government notices here.
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.
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
Drug and Smoking Policy
TIAA maintains a drug-free and smoke/free workplace.
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.
For Applicants of TIAA Global Capabilities, click here.
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