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Compliance Officer AML and Sanctions Governance

Company name
Teachers Insurance and Annuity Association of America

Charlotte, NC

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POSITION SUMMARY: This position is for a Compliance Officer, AML and Sanctions Governance. This role will be the primary liaison with the lines of business to provide governance, training, testing and advisory services in support of TIAA Financial Crimes (AML\/Sanctions\/Fraud) program for all TIAA business units. This individual will perform the annual AML and OFAC risk assessments according to our risk assessments methodology. This methodology requires that recent audits, examinations, and\/or management self-identified issues be taken into consideration while performing the assessments. Further, this role requires the individual to work with the appropriate business unit\/AML personnel to perform compliance testing for the AML, OFAC and Fraud programs. The results and issues will be reported to the TIAA BSA AML Officer for further discussion and potential escalation to the Chief Compliance Officer and\/or Board of Directors as appropriate. This individual will also be responsible for AML\/OFAC policies, procedures and AML\/OFAC training programs. KEY RESPONSIBILITIES AND DUTIES: Performing compliance testing to ensure the adequacy and effectiveness of systems, processes and controls used to achieve compliance with AML, OFAC and Fraud regulations. Creating and promptly escalating reports with noted deficiencies that explain testing results and recommend solutions to the Financial Crimes Executive, Board of Directors, relevant senior management, risk personnel, Internal Audit and other key stakeholder groups to ensure responses and remediation actions are executed in a timely manner as necessary. The close coordination and collaboration with AML operations and analytics regarding the development and evolution of key risk indicators and key performance indicators. Identifying opportunities to utilize information\/finding from the testing process to work with appropriate compliance persons to develop targeted and role-based training and\/or enhance processes to better mitigate reoccurrence of control failures. Working with business units and the Enterprise Financial Crimes Compliance to develop compliance testing and enhance risk assessment methodologies. Performing the AML and OFAC risk assessments with relevant business unit management and report results and issues to the TIAA BSA AML Officer for further action. Working with the line of businesses to create and update role-based AML\/OFAC training programs to support the continuous development of AML\/OFAC knowledge and skills within the line of businesses. Modifying policies, standards and guidelines at the direction of the Enterprise Financial Crimes Officer through collaboration with the appropriate TIAA business partners. Assisting management in special projects, reports, training and\/or presentations to communicate program updates. QUALIFICATIONS: Required: Bachelor\u2019s degree required. Knowledge of AML and OFAC related regulatory guidance is required. Minimum of 5 years of experience in AML Compliance or AML Audit or AML Testing is required. Preferred: Advanced degree is preferred. Understanding of banking, insurance, retirement plans and annuity products, and securities rules\/laws is preferred. Anti-Money Laundering\/Fraud\/Financial Crimes\/Audit\/Risk Certifications preferred. Ability to participate and\/or manage special projects. Equal Employment Opportunity is not just the law, it\u2019s our commitment. Read more about the Equal Employment Opportunity Law.

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Teachers Insurance and Annuity Association of America

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