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Enterprise Compliance Manager

Posted May 21
Full Time
New York

The Enterprise Compliance Manager is responsible for helping to execute the Financial Crimes Compliance Testing Plan (including anti-money laundering and sanctions) according to internal and industry standards. Work independently to assess controls and identify issues and exceptions through testing. Communicate with stakeholders and prepare and issue final reports based on testing results. Track any identified issues through to closure and validate according to internal issue management standards. Stay abreast of changes in the regulatory environment and work with business partners and stakeholders to promote compliance with Financial Crime compliance regulations.

Key Responsibilities And Duties

  • Execute testing Financial Crimes Testing Plan in accordance with the Compliance Testing Standard Operating Procedures (SOP)
  • Provide effective challenge to business stakeholders to assess compliance with relevant laws, rules and regulations
  • Identify weaknesses in compliance control environment and instances of non-compliance
  • Communicate potential issues to senior stakeholders and work with business partners to agree upon Management Actions to remediate issue and mitigate risk
  • Validate issues submitted for closure, as required by internal standards
  • Write and Issue final reports based on test work performed
  • Complete all testing timely and in accordance with established standards
  • Update Archer systems, as needed

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level


Required Experience

  • 5+ years experience in Compliance Testing Programs and/or Audit
  • ACAMS certification OR ability to obtain within 6 months of hire date

Preferred Experience

  • 7+ years experience in Compliance Testing Programs and/or Audit
  • Bachelor’s Degree
  • Knowledge of Financial Crimes regulations (specifically AML anti-money laundering and sanctions)
  • Ability to communicate across all levels of the organization
  • Experience working independently to develop test scripts, define sampling methodology, and conduct walkthroughs with senior stakeholders
  • Working knowledge of Financial Services industry and regulatory expectations

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date


Base Pay Range: $102,200/yr. - $162,800/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).

Company Overview

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.

Equal Opportunity

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.

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


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