Tim Keeton
- Role
- Senior Director, Chief Client Marketing Compliance Officer at TIAA
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Tim Keeton
Compliance risk professional and subject matter expert with a depth of experience in…
Experience
Senior Director, Chief Client Marketing Compliance Officer
Feb 2023 — Present
Key strategic leader in TIAA\'s Enterprise Communications Compliance, providing Compliance thought leadership and oversight in relation to global and client marketing initiatives in the retirement, asset management, and lifetime income space. Hands-on manager who drives implementation of strategic risk-based Compliance initiatives, delivering on performance relative to the support of TIAA’s client marketing activities. Manages a geographically dispersed global team of nine Compliance professionals and subject-matter experts who review TIAA and Nuveen client communications and Marketing materials for use with retail, institutional or banking channels, domestically and globally. The team is responsible for managing relationships with submitters and lines of business, providing advice and guidance regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards, and disclosure guidelines when reviewing and documenting the approval of marketing materials.
Education
Massachusetts Institute of Technology
MITOpenCourseWare, Leadership
2018 — 2018
Indiana University Bloomington
Sophomore-Senior years. Earned credits towards B.A., Liberal Arts and Sciences (Concentrations: Literature, Creative Writing, Business Law and Economics)
Indiana State University
Freshmen year only. Earned credits towards B.A., Music Education
Hillsdale College
Certificate
2018 — 2018
Skills
- Suitability Analysis
- Enterprise Risk Management
- Supervision
- Securities
- Derivatives
- Investments
- Series 7
- Asset Management
- Leadership
- Portfolio Management
- Compliance
- Internal Audit
- Erisa
- Fixed Income
- Anti Money Laundering
- Banking
- Investment Banking
- Management
- Strategy
- Wealth Management
- Capital Markets
- Finance
- Financial Services
- Trading
- Alternative Investments
- Aml
- Executive Management
- Investment Advisory
- Risk Management
- Diminished Capacity Issues
- Elder Financial Exploitation Issues
- Equities
- Process Improvement
- Options
- Series 99
- Mutual Funds
- Due Diligence
- Governance
- Series 63
- Uniform Combined State Law
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