Associate Ecc Compliance

2 weeks ago

Mumbai Maharashtra, India TIAA Full time

Compliance Associate

The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and Duties
- Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies.
- Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
- Supports organization and implementation of compliance audits.
- Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
- Drafts reports on the results of compliance and ethics initiatives of the business unit.
- Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
- Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.

Educational Requirements
- University (Degree) Preferred

Work Experience
- 2+ Years Required; 3+ Years Preferred

Physical Requirements
- Physical Requirements: Sedentary Work

Career Level

6IC

Serve as a member of the Enterprise Monitoring and Surveillance team that administers the Enterprise Communications Compliance Monitoring Program under Strategy, Oversight and Governance. The mission of this team is to deliver excellence through a risk-based approach to compliance monitoring. Key to this function is the development of effective monitoring activities that help mitigate risk and meet the requirements of various regulatory bodies as well as the creation of procedures that ensure consistency of operating processes.

The Compliance Monitoring Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements and will assist in the identification of risk control weaknesses. Program control activities may involve monitoring:

- Compliance with marketing communications guidelines developed to help ensure applicable rules, regulatory and jurisdictional requirements are addressed;
- Internal guardrails and disclosure practices;
- Approval and filing of marketing communications;
- Compliance with the use of social media and website content; and
- Compliance with the use of media communications and public appearances with members of the media or extemporaneous communications given to a large external audience, and any written communications with a reporter, columnist, editor, blogger, or other Media representative.

The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.
- Perform monitoring of marketing and communications content, including reviews, approvals, regulatory filings, substantiations and back up documentation.
- Review of marketing delivery systems for functionality purposes, websites for update protocols, and non-US distribution of materials for adherence to stated processes.
- Assess employee compliance of policy requirements for social media activities and global media interactions, which includes reviewing online postings, videos, and printed interviews.
- Review training materials and LoB monitoring.
- Responsible for keeping updated records of all monitoring, including capturing screen shots as needed and uploading work papers and other documentations, and closing out approved monitoring in designated systems.
- Provide timely records for testing or audit inquiries.
- Flag issues discovered during monitoring, report issues in the issue management system for escalation, and close out open issues.
- Provide requested reports and updates to the Head of Monitoring.

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

___________________________________________________

Company Overview

TIAA GBS India was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA GBS India is focused on building a scalable and sustainable organization, with a focus on technology, operations and expanding into the shared services business space.

Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technolo

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