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TIAA-CREF Individual & Institutional Services, LLC

Mgr. Compliance Officer, AML Investigations

TIAA-CREF Individual & Institutional Services, LLC - Charlotte, NC

Mgr. Compliance Officer, AML Investigations','1711739','!*!COMPANY OVERVIEW:

As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.

When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.

To be difference makers.

For more information about TIAA, visit our website.


The primary responsibility of Mgr. Compliance Officer, AML Investigations, is to provide oversight and guidance to a team of approximately Financial Intelligence Unit (FIU) Investigators responsible for reviewing, researching and analyzing financial transactions and customer behavior across products and services for possible suspicious activity, money laundering and/or violations of banking regulations. This role is responsible for reviewing account activity in accordance with TIAA AML procedures, and recommending the filing of Suspicious Activity Reports (SARs) and/or relationship termination, as appropriate. Act as a subject matter expert for the business and escalation point for suspicious activity/Anti-Money Laundering matters.



Perform quality control reviews of Anti-Money Laundering (AML) investigations and provide comprehensive guidance and feedback to a team of analysts as a result of these reviews.

Assists in complex AML investigations by utilizing investigative tools to conduct extensive research using the Internet, subscription sites, public records, news sources, and internal systems

Assist as needed, in execution of projects and initiatives related to financial crimes

May provide direction to more junior staff.

File Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required.

Adapt quickly and effectively to procedural changes

Ability to work independently without close supervision

Ability to work effectively in a multi-task, high volume and evolving environment

Capable of prioritizing and meeting deadlines

Participate in department initiatives to improve efficiencies

Review/Investigation sources include:

Alerts and cases generated via Case Management Tool (e.g. Actimize)

Referrals from business partners and other control areas

USA PATRIOT Act 314(a) matches and 314(b) requests


National Security Letters



Experience managing AML (Anti-Money Laundering) monitoring and investigations is required; 3 plus years preferred.

Experience in financial services and understanding of financial products, such as online and branch banking, pension, insurance, brokerage, commercial and retail lending, and trust and fiduciary services is required.

Experience in writing and preparing, and/or approving Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements is required; 2 years is preferred.

Knowledgeable of the laws applicable to the Bank Secrecy Act, The USA PATRIOTAct, FinCEN guidelines, OFAC requirements, and Suspicious Activity Reporting requirements is required.

Experience coordinating with AML Operations, Analytics and Technology function regarding segmentation and threshold setting feedback from Investigations is required.

Experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or financial investigations is required; 4 years of experience is preferred.


Bachelor’s Degree is preferred.

ACAMS, ACFE certifications preferred.

Experience with multiple case management systems (Actimize preferred), to include design and implementation of Investigations workflows preferred. 

Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

If you need assistance applying due to being visually or hearing impaired, please email Careers Help.

This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017

C23921','NC-Charlotte','','Advocacy and Oversight','','','Mgr. Compliance Officer, AML Investigations

10 days 13 hours ago

TIAA-CREF Individual & Institutional Services, LLC


Mgr. Compliance Officer, AML Investigations TIAA-CREF Individual & Institutional Services, LLC - Charlotte, NC, United States


Location: Charlotte, NC

Company Profile:
TIAA-CREF is a leading financial services organization with $487 billion in assets under management (as of 3/31/12). The firm is a leader in helping those in the academic, medical, cultural, governmental and research fields plan for retirement, and life’s other goals. Over 3.7 million individuals trust us to help support their financial well-being.