Regional Compliance & Risk Supervisor

TIAA; Dallas (TX); On-site; USD 59,000 - 76,000; Full time

Job summary

TIAA is seeking a supervisor-level candidate to oversee client recommendations and communications within a centralized team. The role focuses on ensuring alignment with firm and regulatory expectations.

Key duties include reviewing client-related recommendations, engaging partners to fix issues, and building strong relationships with the team and business line stakeholders. A FINRA Series 7 is required, Series 24 to be obtained within 120 days, and a Life and Health License is needed for

Qualifications

• University degree preferred.
• 3+ years experience required; 5+ years preferred.
• FINRA Series 7 is required; Series 24 preferred (within 120 days).
• Life and Health Insurance License required for resident state.

Responsibilities

• Review and accept on behalf of the firm recommendations to clients or related written communications.
• Proactively engage business partners to resolve or elevate issues.
• Develop and maintain strong working relationships within the team and stakeholders.

Skills

Business Acumen

Communication

Risk Management

Relationship Management

Regulatory Compliance

Influence

Education

University (Degree) Preferred

Job description

TIAA is seeking a supervisor-level candidate to oversee client recommendations and communications within a centralized team. The role focuses on ensuring alignment with firm and regulatory expectations.

Key duties include reviewing client-related recommendations, engaging partners to fix issues, and building strong relationships with the team and business line stakeholders. A FINRA Series 7 is required, Series 24 to be obtained within 120 days, and a Life and Health License is needed for