MD, Marketing and Communications Compliance - TIAA

The position is responsible for leading and managing all aspects of TIAA’s Marketing and Communications Compliance program. The Managing Director and team play a critical role in supporting the growth and development of TIAA’s businesses by providing prudent and practical guidance and oversight, together with a strong commercial orientation.
Key Responsibilities and Duties

• Ownership for developing and maintaining TIAA’s enterprise and business marketing policies designed to adhere to regulatory requirements, internal operating procedures, and all internal interpretative reference materials.
• Accountable for the execution of the annual Compliance Risk Assessment for the marketing function.
• Drive a risk-based approach anchored by industry leading practices to define scope of marketing materials and communications that require pre-use and post-use review.
• Manage a team of 8-12 geographically dispersed professionals based in the U.S. and in India.
• Enhance and implement a systemic approach to the allocation of marketing and communications submissions for review and build out an efficient end-to-end workflow.
• Define service level standards and negotiate service level agreements with business partners. Manage team to ensure that SLA targets are achieved or exceeded, both in terms of timeliness and quality.
• Foster a culture among the team that provides consistent, commercial, and prudent commentary in relation to marketing and communications content, and is obsessed with providing top-flight support to Marketing and Communications professionals.
• Design and implement an internal system of monitoring/oversight as a form of overall quality assurance and policy adherence for post-use content.
• Design and oversee production of key recurring metrics that provide insight into the team performance, risk, and policy adherence.
• Serve as point person to effectively manage working relationships with senior Marketing and Communications leaders.
• Stay abreast of and seek to implement, where appropriate, technology capabilities that optimize efficiency and effectiveness.
• Chair and lead a cross-functional working group to drive and maintain current, accurate, and consistent disclosure language.
• Establish a strong partnership with members of the Legal, Risk and Compliance colleagues who are responsible for Product, Distribution, Retirement Plan and Recordkeeping Services compliance.
• Routinely interface with Compliance Testing and Internal Audit personnel, and support regulatory examinations as needed.

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Additional Responsibilities

• Develops and implements a system for allocating marketing and communications submissions for review; leverages technology capabilities as appropriate to optimize efficiency and effectiveness.
• Establishes strong partnership with key Legal, Risk and Compliance stakeholders responsible for compliance within various business areas, including product, distribution, retirement plans, recordkeeping services, investment management, and ESG.
• Chairs and leads a cross-functional working group to drive and maintain current, accurate, and consistent disclosure language.
• Define service-level standards and negotiate service-level agreements with business partners; manage team to ensure that SLA targets are achieved or exceeded, both in terms of timeliness and quality.
• Interfaces with compliance testing and internal audit personnel, and supports regulatory examinations as needed.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 10+ Years Required

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
11PL

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:

2024-11-23

Base Pay Range: $225,000/yr. - $300,000/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

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

Email: [email protected]

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