509647 - Senior Associate - Controls Delivery

Senior Associate - Controls Delivery Management - IN
The Business Unit & IT Controls Management role will lead in the development of control programs to mitigate Operational & IT Risk. The role leads and assists in the identification, evaluation, and management of operation and information technology related risks activities in accordance with key regulations, IT Standards and Enterprise Framework.  The role will work closely with all 3 Lines of Defense (LOD), Regulatory Support and Supervisory Affairs Team, IT, Cyber, and the Business Controls Office to drive governance and execution of effective internal controls. The role supports the execution of first line requirements and IT standards with TIAA's Regulatory Risk Management (RRM) Program. This role also presents reports inclusive of status, opportunities, and recommendations to management including working with the Controls Delivery Team to provide appropriate metrics and Key Risk Indicators (KRI) to ensure control adequacy, quality and efficacy for Client Services and Technology organization. Help execute on strategy to cultivate a stronger risk culture at every level of the CS&T organization.

Key Responsibilities and Duties

• Work with technology and risk partners to create risk treatment and remediation plans to mitigate technology risks and govern remediation plans through completion.
• Establishes an integrated and collaborative relationship with first, second, and third line of defense partners from business areas, Enterprise Risk Management (ERM), Compliance, and Audit to ensure continued compliance with ERM requirements and IT Standards.
• Leads cross-functional implementation of compliance programs.
• Assesses the cause of gaps to understand risk drivers, themes, trends, and where similar exposures may exist in other areas of the business.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
8IC

Key Responsibilities and Duties

·         Partner with technology teams to drive effective risk and control management.

·         Work with technology and risk partners to create risk treatment and remediation plans to mitigate technology risks and govern remediation plans through completion.

·         Maintains understanding and knowledge of internal control systems, risk management, compliance practices, IT standards and Financial Services regulations. 

·         Establishes an integrated and collaborative relationship with first, second, and third line of defense partners from business areas, Enterprise Risk Management (ERM), Compliance, and Audit to ensure continued compliance with ERM requirements and IT Standards.

·         Supports the identification of control gaps and assist first line management in creating and documenting necessary remediation steps.

·         Drive the execution of controls across various risk activities, such as, Business Continuity, Disaster Recovery, IT Regulatory exam support, IT Process and Control Mapping, and Risk Training and Education.

·         Create and prepare documents and materials in support of risk management and governance reporting and meetings.

·         Approves and presents reports of findings and recommendations to management.

·         Communicates new or revised policies, procedures, processes, and related documents to appropriate team members and/or business units. 

·         Assesses the cause of gaps to understand risk drivers, themes, trends, and where similar exposures may exist in other areas of the business.

·         Ensures that required evidence and documentation is maintained within the system of record.

·         Coaches and reviews the work of lower-level professionals.

·         Leads cross-functional implementation of compliance programs.

·         Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.

Required Qualifications:

·         Experience and understanding in BU Risk and Controls Management.

·         Experience in executing risk and controls.

Preferred Qualifications:

·         Exposure to Regulatory bodies such as NYDFS, SEC, FINRA, OCC, FRB, and State Insurance regulators, etc.

·         Experience in Project Management and Change Management

·         Ability to work with senior leaders.

·         Experience with PowerPoint and Excel  

·         Excellent verbal and written communications skills

·         Experience leading corporate, divisional or department-wide projects.

·         Ability to collaborate with all levels of organization to research and resolve complex issue.

·         Ability to communicate and interface effectively with peers and all levels of management.

Related Skills

Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring

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Company Overview

TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA Global Capabilities is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.

 
Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

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 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.

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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: [email protected]

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