TIAA
Overview
Sr Director, Wealth CIO Operations & Execution role at TIAA. The Wealth CIO team seeks an experienced Sr. Director of Operations, Execution, and Risk to ensure investment and business processes are efficient, scalable, and aligned with regulatory and fiduciary obligations in PAM and IMG, while delivering value through operational excellence. Responsibilities fall into three categories: 1) Investment and Business Risk Management; 2) Reporting and Oversight; 3) Practice Management. Responsibilities and Duties
Investment and Business Risk Management
Work with investment leaders in PAM and IMG to implement and monitor investment through oversight routines, maintain risk management metrics, identify breaches for the PAM business and work with SMEs to address. Analyze books for outliers and trends in behavior. Perform statistical analysis of investment risk data to create reporting frameworks that track exposure levels, identify trends, and inform risk strategy. Maintain Risk & Control inventory Act as primary liaison with Business Controls, Compliance / Risk / Audit functions Management of audit / oversight needs Respond to requests and service BAU needs of LRC, auditors, and oversight bodies
Oversight Reporting and Documentation
Coordinate with CIO leaders and LRC and business partners to prepare materials for Investment Committees and other oversight bodies. Create agenda in coordination with CIO and other leaders and represent business on projects, committees and board meetings as needed, including running committee meetings. Centralizing adherence, quality control on documentation expectations. Maintaining up to date SOPs and procedures.
Practice Management and Operational Excellence
Research and identify root causes of issues, gaps in practice management routines. Partner with peers to resolve. Train staff, as needed and create awareness of risk, compliance, and regulatory expectations.
Educational Requirements
University (Degree) Preferred Work Experience
5+ Years Required; 7+ Years Preferred Physical Requirements
Sedentary Work Career Level
9IC Required Qualifications
5+ years of risk management experience in wealth management, trust and/or brokerage as well as product development and management. Experience in wealth and broker/dealer risk management. Experience working closely with legal, compliance and internal audit. Preferred Qualifications
University degree Significant risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience in these areas would also be beneficial. Deep knowledge of wealth, trust and retail brokerage businesses. A self-starter with excellent interpersonal, organizational, and leadership skills. Prior experience working directly with regulators, such as the OCC, SEC, FINRA Ability to identify and implement effective risk assessment processes, models, and systems in line with corporate guidelines. Ability to adapt to and initiate change. Ability to assist in optimizing risk-taking to achieve business results. Demonstrated ability to work collaboratively with cross functional groups and support senior management. Ability to evaluate appropriate fund selection for specific platforms and manager/fund selection process. Ability to review, analyze, and explain fixed income and equity risk reports and identify investment performance attributes. Familiarity with risk identification and mitigation techniques and strategies. A highly collaborative business partner who can effectively manage and influence relationships that are widely dispersed both functionally and geographically. Anticipated Posting End Date
2025-10-13 Compensation
Base Pay Range: $151,100/yr - $200,000/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. Our Culture of Impact
At TIAA, we are 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 to enable us to advance our mission. Our values are: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. We thrive in a collaborative in-office environment and work across organizational boundaries to accelerate innovation and deliver meaningful results. Benefits And Total Rewards
We offer a comprehensive Total Rewards package designed to support financial well-being, health, wellness, and work-life balance. Review our Benefits Summary for details. Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate 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, with government notices available here. Accessibility Support
TIAA offers support for applicants who need assistance with the online application process. For reasonable accommodations, contact our Accessibility Support Team at: Phone: (800) 842-2755 Email: accessibility.support@tiaa.org Drug and Smoking Policy
TIAA maintains a drug-free and smoke-free workplace. Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in the US (excluding California), click here. For California residents, click here. For TIAA Global Capabilities, click here. For Nuveen residents in Europe and APAC, click here. Note: Other job postings and listings found in the original content have been removed to focus on the Sr Director role.
#J-18808-Ljbffr
Sr Director, Wealth CIO Operations & Execution role at TIAA. The Wealth CIO team seeks an experienced Sr. Director of Operations, Execution, and Risk to ensure investment and business processes are efficient, scalable, and aligned with regulatory and fiduciary obligations in PAM and IMG, while delivering value through operational excellence. Responsibilities fall into three categories: 1) Investment and Business Risk Management; 2) Reporting and Oversight; 3) Practice Management. Responsibilities and Duties
Investment and Business Risk Management
Work with investment leaders in PAM and IMG to implement and monitor investment through oversight routines, maintain risk management metrics, identify breaches for the PAM business and work with SMEs to address. Analyze books for outliers and trends in behavior. Perform statistical analysis of investment risk data to create reporting frameworks that track exposure levels, identify trends, and inform risk strategy. Maintain Risk & Control inventory Act as primary liaison with Business Controls, Compliance / Risk / Audit functions Management of audit / oversight needs Respond to requests and service BAU needs of LRC, auditors, and oversight bodies
Oversight Reporting and Documentation
Coordinate with CIO leaders and LRC and business partners to prepare materials for Investment Committees and other oversight bodies. Create agenda in coordination with CIO and other leaders and represent business on projects, committees and board meetings as needed, including running committee meetings. Centralizing adherence, quality control on documentation expectations. Maintaining up to date SOPs and procedures.
Practice Management and Operational Excellence
Research and identify root causes of issues, gaps in practice management routines. Partner with peers to resolve. Train staff, as needed and create awareness of risk, compliance, and regulatory expectations.
Educational Requirements
University (Degree) Preferred Work Experience
5+ Years Required; 7+ Years Preferred Physical Requirements
Sedentary Work Career Level
9IC Required Qualifications
5+ years of risk management experience in wealth management, trust and/or brokerage as well as product development and management. Experience in wealth and broker/dealer risk management. Experience working closely with legal, compliance and internal audit. Preferred Qualifications
University degree Significant risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience in these areas would also be beneficial. Deep knowledge of wealth, trust and retail brokerage businesses. A self-starter with excellent interpersonal, organizational, and leadership skills. Prior experience working directly with regulators, such as the OCC, SEC, FINRA Ability to identify and implement effective risk assessment processes, models, and systems in line with corporate guidelines. Ability to adapt to and initiate change. Ability to assist in optimizing risk-taking to achieve business results. Demonstrated ability to work collaboratively with cross functional groups and support senior management. Ability to evaluate appropriate fund selection for specific platforms and manager/fund selection process. Ability to review, analyze, and explain fixed income and equity risk reports and identify investment performance attributes. Familiarity with risk identification and mitigation techniques and strategies. A highly collaborative business partner who can effectively manage and influence relationships that are widely dispersed both functionally and geographically. Anticipated Posting End Date
2025-10-13 Compensation
Base Pay Range: $151,100/yr - $200,000/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. Our Culture of Impact
At TIAA, we are 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 to enable us to advance our mission. Our values are: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. We thrive in a collaborative in-office environment and work across organizational boundaries to accelerate innovation and deliver meaningful results. Benefits And Total Rewards
We offer a comprehensive Total Rewards package designed to support financial well-being, health, wellness, and work-life balance. Review our Benefits Summary for details. Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate 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, with government notices available here. Accessibility Support
TIAA offers support for applicants who need assistance with the online application process. For reasonable accommodations, contact our Accessibility Support Team at: Phone: (800) 842-2755 Email: accessibility.support@tiaa.org Drug and Smoking Policy
TIAA maintains a drug-free and smoke-free workplace. Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in the US (excluding California), click here. For California residents, click here. For TIAA Global Capabilities, click here. For Nuveen residents in Europe and APAC, click here. Note: Other job postings and listings found in the original content have been removed to focus on the Sr Director role.
#J-18808-Ljbffr