Vice President, TIAA Global Asset Management Ethics Office (HIRED)

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The TGAM Ethics Office provides centralized oversight of all ethics related policies and helps create and foster a culture of ethics throughout the organization. The Ethics Office develops and maintains enterprise-wide policies for topics within its purview, and serves to set a baseline standard of employee conduct throughout TGAM. This is complimented by a strong monitoring and reporting capability. The suite of Ethics Office policies includes the Code of Ethics, Business Gifts and Entertainment, Outside Business Activities, and Global Anti-Corruption, and the Ethics Office also drives content and administers an appropriate training curriculum.

Overview:
The Vice President of TGAM Ethics Office will manage a team of three Compliance professionals and is assigned responsibility for coverage of TGAM Code of Ethics as it relates to Personal Investing standards.

Specific responsibilities include:
• Manage a team of three Compliance Analysts who execute all aspects of the Compliance program with respect to TGAM’s Code of Ethics (employee trading) policy along with the Information Barrier/Material Non-public Information Barrier policy.
• Develop knowledge of all aspects of TGAM Ethics Office operations and the ability to manage the broader team as needed.
• Develop goals as well as prioritize and assign projects and tasks. Counsel, train and coach staff as well as perform other required managerial duties.
• Design and execute a system of supervision to ensure that assigned areas of responsibility in relation to the Code of Ethics and Information Barriers are being performed properly in all respects, which includes the on-boarding of TGAM new hires, researching, resolving and documenting alerts in the Code of Ethics system, appropriately following-up with employees, managers, or TGAM CCOs, properly applying affiliate driven supplemental policies to the Code, and administering multiple lists and related duties pertaining to issuer’s and Material Non-Public Information.
• Key contributor to maintaining the Code of Ethics and Information Barriers policies, and will perform the formalized annual review of such policies.
• Responsible for developing and maintaining internal desk procedures that reflect the full range of responsibilities of the Code of Ethics team.
• Key contributor to the development and maintenance of online training modules. Work in collaboration with TGAM’s CCOs and other departments and staff throughout the organization to promote awareness of applicable policies.
• Coordinate with Learning and Communication partners to develop management reports to reflect the status of various training programs provided to employees.
• Provide customized reporting to the array of stakeholders, including various governance committees, TGAM’s CCOs and business leaders that encompass appropriate metrics and other forms of data regarding employee adherence with the Code of Ethics and Information Barrier policies.
• Provide assistance in connection with responding to, and managing, both internal and external audits.
• Assist in the design and maintenance of a Compliance Risk Assessment in regard to assigned functions, along with key risk indicators (KRI) to provide opportunities for proactive risk management.

Required qualifications:
• Bachelors degree required.
• 10 plus years of experience in Compliance within the financial services industry, with specific substantive experience in the asset management segment of the industry.
• Successful candidate should have past supervisory experience and knowledgeable in relevant securities laws and practices.
• Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
• Excellent verbal, written and interpersonal communication skills.
• Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
• Strong understanding of Information Barriers, MNPI and related controls.
• Advanced Microsoft skills.

Desired qualifications:
• Ability to interact with all levels of the organization including the Executive Management Team.
• Ability to effectively manage a team of individuals to achieve department’s goals.
• Experience with Information personal trading surveillance systems/tools ideal.
• Ability to collaborate across business lines to handle conflicts.
• Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
• Ability to work independently and adapt to changing and competing priorities.

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