Regional Compliance & Supervision Lead

TIAA; Charlotte (NC); On-site; USD 71,000 - 96,000; Full time

Job summary

TIAA is seeking a Regional Supervisory Principal to oversee registered representatives in Charlotte and NYC, ensuring compliance with firm policies and regulatory requirements. The role emphasizes risk mitigation, oversight of sales activities, and collaboration with partners across the organization.

The ideal candidate has substantial supervisory experience, familiarity with FINRA rules, and strong research and relationship management skills. Excellent Excel proficiency is a plus.

Qualifications

• University degree preferred.
• 5+ years of experience; 7+ preferred.
• FINRA registrations: Series 7, Series 24, Series 65 & Series 66 preferred.
• Sedentary work physical requirement.

Responsibilities

• Supervise registered representatives and associated persons to ensure compliance with guidelines and regulations.
• Review sales activity with strong product knowledge and oversight.
• Conduct periodic internal reviews ahead of audits.
• Collaborate with business partners to resolve issues.
• Promote controls and compliance through training and consulting activities.
• Participate in department initiatives and act as SME in business programs.

Skills

Regulatory compliance

Supervision

Risk management

Excel

Relationship management

Education

University degree

Tools

Excel

Job description

TIAA is seeking a Regional Supervisory Principal to oversee registered representatives in Charlotte and NYC, ensuring compliance with firm policies and regulatory requirements. The role emphasizes risk mitigation, oversight of sales activities, and collaboration with partners across the organization.

The ideal candidate has substantial supervisory experience, familiarity with FINRA rules, and strong research and relationship management skills. Excellent Excel proficiency is a plus.