"Alerted.org

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 would fall into three categories: 1) Investment and Business Risk Management; 2) Reporting and Oversight; 3) Practice Management.

Key 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.

+ Analyzing 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

+ 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.

\#LI-KD2

Related Skills

Analytical Skills, Business Acumen, Business Process Understanding, Compliance, Conflict Management, Consultative Communication, Critical Thinking, Influence, Market/Industry Dynamics, Relationship Management, Risk Analysis/Analytics, Risk Monitoring

Anticipated Posting End Date:

2025-10-13

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).

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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. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Our Culture of Impact

At TIAA, we're 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 that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee 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 (https://careers.tiaa.org/) , and you can read more about your rights and view government notices here (https://www.dol.gov/general/topics/posters) .

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: [email protected]

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

For Applicants of TIAA Global Capabilities, click here (https://www.tiaa.org/public/support/privacy/tiaa-global-capabilities-privacy-notice) .

For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

Privacy Notices

+ For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

+ For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

+ For Applicants of TIAA Global Capabilities, click here (https://www.tiaa.org/public/support/privacy/tiaa-global-capabilities-privacy-notice) .

+ For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088\_EEOC\_KnowYourRights-1688394514088.pdf)

Pay Transparency

Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)