Brokerage, Risk and Controls Analyst
Denver , Colorado
October 20, 2017
Job Description



Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization. We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them.


By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals.  We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success*.


For more information about TIAA, visit our website.




Title: Brokerage – Risk and Controls Analyst

Location: Denver, CO


Job Summary

Brokerage Risk and Controls team is responsible for overall development and implementation, measurement and monitoring of a brokerage risk program that is designed to identify existing and emerging risks.  Quality Controls Analyst will be a part of the Risk and Controls team focused on review of Brokerage transactions to ensure highest quality standards are met.


Key Job Responsibilities:

• Perform QC analysis on transactions according to Standard Operating Procedures (SOPs) and published policies and procedures

• Document QC results correctly for trending and analysis

• Assist Sr. Risk and Control with error trending, error reporting and root cause analysis of transactions funneled through the QC process

• Assist with identifying common and individualized training needs for Operations employees based trend analysis.

• Review customer complaints to identify quality related complaints

• Collaborate with the Sr. Risk & Controls and BSS teams to maintain 100% alignment between SOP and P&P manuals

• Partner with SR. Risk and Controls to assist in new P & P implementation

• Participate in problem-solving/continuous improvement efforts to improve quality standards

• Assist in maintaining and improving quality metrics that can be utilized by management team and individual operations employees

• Assist Sr. Risk and Controls with Audit requested documents

• Participate in project work as needed


Required Qualifications:

• 2+ years' of brokerage operations transactional processing experience

• 2+ years’ experience working with Brokerage Service and Support policies and procedures

• 2+ years’ experience and knowledge of standard and complex brokerage transactions – IGO and NIGO

• 2+ years’ experience with Brokerage Services applications - NetX360, EXP AG, Case Manager, Siebel, etc.


Preferred Qualifications:

• Microsoft applications, particularly, VISIO, WORD,  ACCESS, PowerPoint and Excel

• Series 7 Preferred

• Strong discipline in quality standards

• Ability to maintain an objective assessment while conducting and reporting QC results

• Able to learn new concepts, processes and tools related to job responsibilities

• Effective communication skills; speaks clearly and expresses self well in groups and in one-to-one conversations; conveys information clearly and effectively through formal and informal written documents

• Ability to make timely and sound judgments with limited guidance; including under some ambiguous circumstances

• Build strong and collaborative relationships with peers and BSS management

• Results driven; conveys a sense of urgency and drives issues to closure, while addressing obstacles and opposition

• Demonstrates TC Way mindsets and behaviors

• Handles day-to-day work challenges confidently; is willing and able to adjust to multiple demands, shifting priorities, demonstrates flexibility

• Ability to manage day to day responsibilities to meet team goals and SLA

• Flexible hours to support business needs


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


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