Associate - Specialist - Compliance (Monitoring, Surveillance & Reporting) TIAA

2.0 - 6.0 years

0 Lacs

maharashtra

On-site

The Compliance Advisor assists with the broader planning of business unit compliance programs to ensure that the organization functions in compliance with all relevant laws, regulations, and policies. The primary objective is to prevent illegal, unethical, or improper business practices within the organization. In this role, you will work independently under general supervision and assist team members in identifying, investigating, and reporting compliance risks. Key Responsibilities and Duties: - Support compliance risk assessments to identify issues, concerns, and deficiencies related to compliance. - Assist in investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures. - Support the organization and implementation of compliance audits. - Assist in designing and implementing corrective action plans to address compliance issues and ensure corrections of deficiencies. - Draft reports on the outcomes of compliance and ethics initiatives within the business unit. - Maintain documentation of compliance activities to record issues and ensure easy accessibility and retrieval of documents. - Assist in implementing preventive measures and compliance processes while contributing to the revision of policies and procedures to enhance the operation of business unit compliance programs as necessary. Educational Requirements: - University Degree Preferred Work Experience: - Minimum 2 years of experience required; 3+ years preferred Physical Requirements: - Sedentary Work Career Level: - 6IC Related Skills: - Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking *Note: This job description for Compliance Associate is based on the information provided in the job description.,

Posted 2 weeks ago

Apply

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.