Risk & Compliance Sr Associate

Nuveen; Frisco (TX); On-site; USD 85,000 - 126,000; Full time

Job summary

TIAA is seeking a Senior Compliance professional in Frisco, TX to lead the development and revision of compliance policies and procedures, monitor ethics programs, and advise management on risk. The role involves identifying vulnerabilities, designing corrective actions, and guiding investigations when violations occur.

The position emphasizes collaboration with senior leadership and governance teams, with opportunities to influence the organization’s compliance posture and risk controls.

Qualifications

• Experience with regulatory compliance frameworks, industry standards, and risk management.
• Ability to identify vulnerabilities and implement corrective actions.
• Strong analytical and problem-solving skills.
• Excellent communication and stakeholder advisory abilities.

Responsibilities

• Develops and revises compliance policies and procedures.
• Monitors ethics initiatives and guides management on compliance.
• Identifies compliance risks and designs corrective actions.
• Responds to alleged violations by evaluating investigations.

Skills

Regulatory compliance

Risk management

Analytical thinking

Communication

Interpersonal skills

Problem solving

Job description

Key Responsibilities and Duties

Develops, initiates and revises policies and procedures for the general operation of the business unit's compliance program and its related activities. Monitors compliance and ethics initiatives of the business unit and provides guidance for the management team on matters relating to compliance. Identifies potential areas of compliance vulnerability and risk within the organization. Designs corrective action plans for the resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future. Responds to alleged violations of rules, regulations, policies and procedures by evaluating or recommending the initiation of investigative procedures.

Physical Requirements

Physical Requirements: Sedentary Work

Career Level

7IC Required

Required Skills

Experience with regulatory compliance frameworks, industry standards, and risk management principles relevant to the business unit. Demonstrated ability to identify compliance vulnerabilities and risks, and to develop and implement effective corrective action plans. Excellent analytical and problem-solving skills, with the ability to evaluate alleged violations and recommend appropriate investigative or remedial actions. Strong communication and interpersonal skills, with the ability to advise management teams and present compliance-related guidance clearly and effectively.

Preferred Skills

Experience developing, drafting, or revising compliance policies and procedures within a corporate or regulated environment. Familiarity with reporting compliance initiatives and risk assessments to senior leadership or Board-level stakeholders. Professional certification such as Certified Compliance and Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM), or equivalent. Experience working independently under limited supervision while managing multiple compliance priorities in a fast-paced environment.

Related Skills

Adaptability, Collaboration, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting.

Compensation and Miscellaneous

Anticipated Posting End Date: 2026-10-20 Base Pay Range: $85,400/yr - $126,000/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).

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 weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre 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

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.

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 Pay Transparency Philadelphia Ban the Box