TIAA
Sr Director, Wealth CIO Operations & Execution
TIAA, Charlotte, North Carolina, United States, 28245
Sr Director, Wealth CIO Operations & Execution
The Wealth CIO team is seeking an experienced Sr. Director of Operations, Execution, and Risk. This person would ensure that investment and business processes are efficient, scalable, and aligned with regulatory and fiduciary obligations in PAM and IMG, while delivering value through operational excellence. The responsibilities fall into three categories: 1) Investment and Business Risk Management; 2) Oversight Reporting and Documentation; 3) Practice Management and Operational Excellence.
Responsibilities
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; manage 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 the business on projects, committees and board meetings as needed, including running committee meetings; centralizing adherence and quality control on documentation expectations; maintain up-to-date SOPs and procedures.
Practice Management and Operational Excellence: Research and identify root causes of issues and gaps in practice management routines; partner with peers to resolve; train staff and create awareness of risk, compliance, and regulatory expectations.
Qualifications
Educational: University degree preferred.
Experience: 5+ years in risk management in wealth management, trust, and/or brokerage; 7+ years preferred; experience in wealth and broker/dealer risk management; experience with legal, compliance and internal audit; strong knowledge of wealth, trust and retail brokerage businesses.
Skills: Analytical abilities, risk analysis/analytics, strong communication, leadership, and ability to work with regulators (e.g., OCC, SEC, FINRA).
Preferred Qualifications
Significant risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or external consultant; compliance experience beneficial.
Self-starter with interpersonal, organizational, and leadership skills; ability to adapt to change; ability to optimize risk-taking to achieve business results; ability to collaborate across functions and with senior management; ability to evaluate fund selection for platforms and manager/fund selection processes; ability to review and explain fixed income and equity risk reports; familiarity with risk identification and mitigation techniques; highly collaborative partner across dispersed teams.
Work Details
Career Level: Executive (9IC)
Employment Type: Full-time
Location/Posting: Charlotte, NC area (as applicable per posting)
Posting Details
Anticipated Posting End Date: 2025-10-13
Base Pay Range: $151,100/yr - $200,000/yr
Note: Actual base salary may vary based on experience, role, and location. Compensation may include incentive programs as applicable.
About the Company Company overview and culture statements as provided in the posting excerpt.
Equal Opportunity and Accessibility We are an Equal Opportunity Employer. We do 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. Reasonable accommodations are available for applicants with disabilities. For US applicants, contact accessibility support if needed.
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Responsibilities
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; manage 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 the business on projects, committees and board meetings as needed, including running committee meetings; centralizing adherence and quality control on documentation expectations; maintain up-to-date SOPs and procedures.
Practice Management and Operational Excellence: Research and identify root causes of issues and gaps in practice management routines; partner with peers to resolve; train staff and create awareness of risk, compliance, and regulatory expectations.
Qualifications
Educational: University degree preferred.
Experience: 5+ years in risk management in wealth management, trust, and/or brokerage; 7+ years preferred; experience in wealth and broker/dealer risk management; experience with legal, compliance and internal audit; strong knowledge of wealth, trust and retail brokerage businesses.
Skills: Analytical abilities, risk analysis/analytics, strong communication, leadership, and ability to work with regulators (e.g., OCC, SEC, FINRA).
Preferred Qualifications
Significant risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or external consultant; compliance experience beneficial.
Self-starter with interpersonal, organizational, and leadership skills; ability to adapt to change; ability to optimize risk-taking to achieve business results; ability to collaborate across functions and with senior management; ability to evaluate fund selection for platforms and manager/fund selection processes; ability to review and explain fixed income and equity risk reports; familiarity with risk identification and mitigation techniques; highly collaborative partner across dispersed teams.
Work Details
Career Level: Executive (9IC)
Employment Type: Full-time
Location/Posting: Charlotte, NC area (as applicable per posting)
Posting Details
Anticipated Posting End Date: 2025-10-13
Base Pay Range: $151,100/yr - $200,000/yr
Note: Actual base salary may vary based on experience, role, and location. Compensation may include incentive programs as applicable.
About the Company Company overview and culture statements as provided in the posting excerpt.
Equal Opportunity and Accessibility We are an Equal Opportunity Employer. We do 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. Reasonable accommodations are available for applicants with disabilities. For US applicants, contact accessibility support if needed.
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