Analyst - Compliance

Compliance Analyst

The Compliance Analyst assists with broader planning of business unit compliance programs 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. Working under close supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and Duties

• Assists compliance risk assessments to identify compliance issues, concerns and deficiencies.
• Supports with invitations in response to complaints and/or potential violates of rules, regulations, policies and procedures.
• Performs basic tasks to assist with organization and implementation of compliance audits.
• Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
• Prepares reports on the results of compliance and ethics initiatives of the business unit.
• Organizes documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
• Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.
• Supports the development of employee communication and training programs to educate employees on the elements of company-wide compliance program.
• Researches industry compliance regulations and policies to support compliance assessments and implementation of compliance control programs.

Educational Requirements

• University (Degree) Preferred

Work Experience

• No Experience Required

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

5IC

Job Summary: RIWSS - Risk & Compliance Support Officer (Analyst)

RIWSS is seeking a Risk & Compliance Support Officer (Analyst) who will be responsible for evaluating recorded National Contact Center consultant interactions flagged by the AI compliance monitoring system for potential compliance concerns. Working within the TIAA Investigations Management System (TIMS) and its Call Monitoring Automated (CMA) module, the Analyst conducts thorough, timely, and accurate reviews of assigned calls across designated monitored topics, documents findings, and escalates observations in accordance with established compliance monitoring standards and procedures. This role plays a critical part in supporting TIAA's commitment to regulatory integrity, consultant accountability, and participant protection.

Key Responsibilities and Duties

The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.

• Reviews assigned NCC consultant call recordings in full and evaluates each call against established compliance monitoring standards
• Applies accurate dispositions to flagged calls across all monitored topics including Complaints, Education Only, Authentication, and Registration and Licensing
• Documents all review findings completely and accurately within CMA in accordance with the NCC Call Monitoring Standard Operating Procedure
• Updates call status to In Progress in CMA upon beginning assigned call evaluations
• Completes all calls within assigned cases by the designated case due date
• Escalates compliance observations to the Compliance Monitoring Lead for second-level review in accordance with established escalation procedures
• Communicates proactively to the Program Administrator when capacity constraints may affect timely case completion
• Participates in calibration sessions and applies feedback consistently to subsequent reviews
• Maintains a thorough understanding of monitored topic definitions, failure examples, and evaluation guidance as documented in program SOPs
• Supports the integrity of the compliance monitoring program through objective, consistent, and well-reasoned call evaluations

Required Skills

• 1-3 years of experience in asset management or related investment banking experience.
• Must be extremely detail-oriented with a very inquisitive nature, and possess sound judgement while operating with utmost integrity.
• Strong organizational and problem-solving skills along with the ability to conduct research utilizing a variety of resources. Must be comfortable in issuespotting.
• Strong time management, analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.
• Must have strong written and oral communication skills to interact effectively with business partners and colleagues.
• Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.
• Exposure and experience in using risk and monitoring tools and techniques.

Preferred Skills

• Experience in a financial services firm in a Risk or Compliance governance function.
• Knowledge of US-based regulatory requirements for financial advertising and marketing.
• Experience with sampling techniques.
• Strong Microsoft Office skills (Word and Excel / pivot tables)

Related Skills

• Adaptability
• Business Process Understanding
• Compliance
• Compliance Trends
• Critical Thinking
• Detail-Oriented
• Influence
• Relationship Management
• Risk Monitoring
• Strategic Thinking