Manager, Regulatory Program Management

TIAA; Frisco (TX); In loco; USD 92.000 - 122.000; Tempo pieno

Descrizione del lavoro

TIAA in Frisco, TX seeks a Regulatory Program Manager to ensure controls and processes align with regulatory requirements across broker-dealer activities. You will establish operating routines and supervisory practices, and present findings to management.

Ideal candidates have 5+ years in regulatory/compliance roles, hold or pursue FINRA Series 7 and Series 24, and can work across Distribution, HR, and technology to design and implement compliant programs.

Competenze

• 5+ years of regulatory/compliance experience.
• FINRA Series 7 required; Series 24 to be obtained within 120 days.

Mansioni

• Creates and maintains processes ensuring adherence to regulatory requirements.
• Designs evaluation and testing of regulatory processes and controls.
• Presents Compliance findings and recommendations to management.
• Leads cross-functional implementation of broker-dealer programs and analyzes regulatory risks.
• Evaluates reporting policies to identify gaps and weaknesses.
• Communicates new or revised policies and procedures to teams.

Conoscenze

Business Acumen

Business Process Improvement

Communication

Compliance

Risk Management

Detail-Oriented

Relationship Management

Formazione

University Degree

Strumenti

FINRA Series 7

FINRA Series 24

Descrizione del lavoro

The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.

Key Responsibilities and Duties

• Creates and maintains processes that ensure adherence to regulatory requirements.
• Designs the evaluation and testing of regulatory processes and controls.
• Presents reports of Compliance findings and applicable recommendations to management.
• Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

9IC

This role works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls. Ideal candidates would have strong product knowledge, technical skills, and thrive in a collaborative, fast-paced environment.

Additional Information For Posting

Required Experience

• 5+ years of experience
• FINRA Series 7
• FINRA Series 24 (to be obtained within 120 days)

Preferred Experience

• 7+ years experience

Related SkillsBusiness Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring

Anticipated Posting End Date

2026-09-08

Base Pay Range

$92,300/yr - $122,000/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).

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.

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.

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.

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Email: [e-mail]

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Drug and Smoking Policy

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

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