Investment Compliance Analyst

Teachers Insurance and Annuity Association-College Retirement Equities Fund (TIAA-CREF New York, New York), is one of the largest and most respected financial service providers in the world. For more than 85 years we’ve been dedicated to serving the financial well-being of an extraordinary group of people – those working in the academic, medical, cultural, and research fields.

Financial Services


Position will perform liaison work on behalf of Investment Managment with respect to compliance matters. Position will report to Chief Administrative Officer.



Responsibilities:Identify gaps between existing Investment Management procedures, best practices and SEC regulationsAssume primary responsibility for documenting the policy and procedure gap analysis and tracking the progress towards addressing identified gapsImplementation of SEC and Internal Audit RecommendationsEnsure that Investment Management Processes match ProceduresPrepare and Maintain various documentation pursuant to regulations and policiesOversight of Mandatory training and reportingLiase with Audit and SEC regarding trading issuesAssist with regulatory audits and responses to regulatory enquiriesPreliminary review of market data and consultant contractServe as an Investment Management Representative on the Personal Trading Oversight CommitteeMinimal travel to San Francisco and CharlotteOther duties as assigned


As a TIAA employee, you have access to a highly competitive benefits package that includes the following plans: Retirement, 401(k), including an excess plan, Medical coverage, including prescription drug coverage, Dental coverage, Vision care, Long- and short-term disability, Life insurance, Flexible spending accounts, Paid time off, Work/life programs, Tuition reimbursement, Adoption assistance, Fitness reimbursement, Commuter benefits, and Back-up childcare.
REQUIREMENTS
Excellent Organizational Skills Desire to learn Trading Procedures Superior Analytical and Judgment Skills Excellent written and oral skills One who has the competence and confidence to deal with the firm's senior management Team player Leverage and improve upon technical skills Learns quickly, is thorough, and can follow through on assignments and projects with minimal supervision Ability to work independently