TIAA-CREF Asset Management (TCAM), Compliance Officer recruitment
TIAA is a US financial services organization and is the leading provider of retirement services in the academic, research, medical and cultural fields with $450 billion in combined assets under management.
We are seeking a Compliance Officer to support our UK/Luxembourg locations as follows:
Responsibilities include:
• Oversee compliance aspects for UK office and Luxembourg office.
- Develop and implement a risk based compliance program
- Assume day to day management of the firm’s compliance monitoring program
- Oversee and manage the compliance, systems and controls, assessing their ongoing effectiveness
- Provide leadership for compliance, compliance review and regulatory change functions
- Oversee and arrange the development and maintenance of appropriate regulatory policies, processes and training materials.
- Provide appropriate guidance and recommendations to the business.
- Perform testing and oversight on activities conducted out of offices
- Perform the role of the MLRO within the firm's day-to-day operations, including the taking-on of new clients.
- Ensure that staff is aware of individual corporate policies and promote high ethical standards of staff.
- Provide Compliance review and sign off process for marketing and other documentation and sales activities.
- Assist in managing the relationships with regulators
- Interface with the US group compliance team
Qualifications:
- The candidate for this role must have significant experience and a proven background in UK compliance in relation to a real estate, commercial mortgage and advisory business.
- The candidate must have in depth knowledge of the FSA Rules and handbook as well as the CSSF regulatory framework.
- Experience with Paralegal or Corporate Secretarial duties is preferred but not required.
- A relevant industry qualification is required.
- The position may require some travel.
If you would like to apply for this role or find out more, please contact Johnna Fary at jfary@tiaa-cref.org.
May 7, 2012
• Tags: Asset Management careers in the UK, Compliance Officer recruitment, TIAA-CREF Asset Management (TCAM) • Posted in: Financial