Broker-Dealer Regulatory Controls Lead

Teachers Insurance and Annuity Association of America; Charlotte (NC); On-site; USD 68,000 - 95,000; Full time

Job summary

Charlotte, NC-based Senior Analyst, Regulatory Program Management at Teachers Insurance and Annuity Association of America evaluates internal controls and regulatory compliance across broker dealer activities. You will design tests, review processes, and communicate findings to leadership while collaborating with cross‑functional partners.

Requirements include 3+ years in financial services and Series 7/24 within 120 days of start. 100+ year firm with strong benefits, located in Charlotte, NC.

Qualifications

• 3+ years of financial services experience
• Series 7 and 24 completed within 120 days of start date

Responsibilities

• Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.
• Designs and executes the testing of regulatory processes and controls.
• Presents findings and applicable recommendations to management and/or appropriate business partners.
• Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.
• Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Skills

Business Acumen

Business Process Improvement

Business Process Understanding

Communication

Compliance

Continuous Improvement Mindset

Detail-Oriented

General Risk Management

Influence

Relationship Management

Risk Mitigation

Risk Monitoring

Education

University (Degree) Preferred

Job description

Charlotte, NC-based Senior Analyst, Regulatory Program Management at Teachers Insurance and Annuity Association of America evaluates internal controls and regulatory compliance across broker dealer activities. You will design tests, review processes, and communicate findings to leadership while collaborating with cross‑functional partners.

Requirements include 3+ years in financial services and Series 7/24 within 120 days of start. 100+ year firm with strong benefits, located in Charlotte, NC.