Enterprise Compliance Sr Associate - Wealth Marketing

Serve as a member of the TIAA Marketing & Communications Compliance ("MCC") team, providing advice and guidance regarding the applicability of regulatory requirements, internal review standards, and disclosure guidelines, including review and documenting the approval of marketing materials. In addition, the role will provide compliance thought leadership and solutions regarding the approach to innovative marketing initiatives. Primary daily tasks involve the review of marketing materials for compliance with rules, regulations, firm policies, procedures, and other regulatory or reputational risks to the firm. MCC works closely with other departments, including but not limited to broker-dealer compliance, RIA compliance, product compliance, and legal. This individual will serve as a key strategic partner to collaborate on broader issues relative to the support of the organization's marketing activities. This role requires in-depth industry knowledge, regulatory acumen, and a strong understanding of applying FINRA, NAIC, MSRB, and SEC marketing rules. This role also requires knowledge regarding state insurance rules, Reg BI, and advertising regulations, to support lifetime income, annuity products, and wealth management materials offered by TIAA.

Key Responsibilities and Duties

• Review advertising, marketing, and creative portfolios ("marketing communications") for compliance with regulations and internal standards.

• Coordinate effectively with key stakeholders, including legal and business partners, to resolve potential issues, and facilitate agreement on final positioning, inclusive of guardrails where appropriate.

• Develop and communicate recommendations that support adherence to regulations and industry best practices.

• Inform marketing partners of changes in regulatory requirements relating to marketing materials and assist with implementing procedural revisions to ensure compliance.

• Support ongoing maintenance of disclosure libraries, internal guidance, and review checklists to keep resources current and relevant. Assist with periodic reviews of disclosure guides and monitoring for consistency in disclosure application methodologies.

• Provide exceptional customer service and support to internal partners in a solution-oriented manner. Set appropriate expectations in turnaround of materials to ensure defined service level standards continue to be met or exceeded, both in terms of timeliness and quality.

• Research complex issues and define required actions for resolution. Escalate appropriately to management where needed.

• Assist with internal and external examinations and audits, including ongoing program administration and review of other materials as needed.

• Opportunities to lead, perform, and participate in special projects and other duties as assigned.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

7IC

Required Qualifications:

• 3+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience. General compliance experience will also be considered.

• FINRA Series 7 and Series 24 licenses.

Preferred Qualifications:

• 5+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience.

• Wealth management, broker-dealer, registered investment adviser, and 529 plan experience.

• Life insurance and annuity experience.

• Former regulator a plus.

• Experience working in a high performance, fast paced environment with exceptional partnering skills as teamwork and collaboration are highly valued.

• Strong analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.

• Exceptional written and verbal communication skills with the ability to build productive relationships and collaborate effectively across all levels of the organization.

• Must be able to articulate regulatory considerations and concerns, keeping abreast of regulatory developments surrounding marketing compliance and be able to nimbly respond to a rapidly changing and complex regulatory environment.

• Demonstrated knowledge of a broad range of financial products and related regulatory requirements. TIAA products/services acumen a plus.

• Technologically adept and savvy, both in terms of marketing's use of technology and the deployment of leading technology in relation to compliance processes.

• Ability to exercise sound judgement in decision-making and problem-solving, being a forward thinker, able to anticipate problems and propose recommended solutions.

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:

2026-06-05

Base Pay Range: $81,300/yr - $108,000/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

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today we're a market-leading retirement company fueled by world-class asset management. But we're not just another legacy financial services firm. We're fighting harder than ever before for our clients and the many Americans who need us.

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.

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 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 full EEO & Non-Discrimination statement is on our careers home page ( , and you can read more about your rights and view government notices 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]

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here ( .

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here ( .

For Applicants of TIAA Global Capabilities, click here ( .

For Applicants of Nuveen residing in Europe and APAC, please click here ( .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

Privacy Notices

• For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here ( .

• For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here ( .

• For Applicants of TIAA Global Capabilities, click here ( .

• For Applicants of Nuveen residing in Europe and APAC, please click here ( .

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

EEO is the Law ( EEOC\ KnowYourRights-1688394514088.pdf)

Pay Transparency

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