Sr. Business Risk & Control Analyst

About the role

The Senior Business Risk and Control Analyst evaluates the reliability and effectiveness of internal financial controls across the company. Under limited supervision, this job is responsible for reviewing the testing of financial records, processes and systems as well as the auditing of the recording of transactions. This job also reviews reports of findings and recommendations for management. 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.

Responsibilities

• Oversees the monitoring, evaluating, and testing of financial records, processes, and systems.
• Confirms the auditing of recording of transactions and compliance with applicable laws, agreements, and policies.
• Reviews reports of findings and recommendations to management.
• Participates in cross-functional implementation of compliance programs including analysis of transaction-level risks in operational areas.
• Reviews documentation of business processes, risks and controls.
• Analyzes reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Coordinates the compilation of various state and federal regulatory agency filings and coordinates quarterly and annual statement mailings.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Requirements

• Educational Requirements: University (Degree) Preferred
• Work Experience: 3+ Years Required; 5+ Years Preferred
• Physical Requirements: Sedentary Work
• Career Level: 7IC

Qualifications

• Required Qualifications: 3+ years of risk/compliance experience in financial services
• Preferred Qualifications: 5+ years of risk/compliance experience in financial services

Skills

• Business Acumen
• Business Process Improvement
• Business Process Understanding
• Communication
• Compliance
• Continuous Improvement Mindset
• Detail-Oriented
• General Risk Management
• Influence
• Relationship Management
• Risk Mitigation
• Risk Monitoring

Benefits

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.

Pay

Base Pay Range: $73,600/yr - $100,000/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).