Regional Compliance & Supervision Leader

TIAA; Town of Charlotte (NY); On-site; USD 71,000 - 96,000; Full time

Job summary

TIAA in Charlotte and New York City seeks a Regional Supervisory Principal to oversee registered representatives and associated personnel, ensuring adherence to regulatory guidelines and firm policies. The role emphasizes risk mitigation, audit readiness, and ongoing training to strengthen compliance across the organization.

The ideal candidate has substantial experience in supervision within financial services, strong regulatory knowledge, and proficiency with Excel; Series 7/24/65/66 are

Qualifications

• University degree preferred.
• 5+ years of supervisory experience in financial services.
• FINRA registrations Series 7, 24, 65/66 preferred.

Responsibilities

• Supervise registered representatives and associated persons to ensure compliance with guidelines and regulations.
• Review sales activity with strong knowledge of products, processes and oversight.
• Conduct internal reviews in preparation for audits.
• Engage business partners to resolve issues and promote controls.
• Provide training and consulting to enhance compliance.

Skills

Regulatory compliance

Risk management

Relationship management

Communication

Education

University (Degree) Preferred

Tools

Excel

Job description

TIAA in Charlotte and New York City seeks a Regional Supervisory Principal to oversee registered representatives and associated personnel, ensuring adherence to regulatory guidelines and firm policies. The role emphasizes risk mitigation, audit readiness, and ongoing training to strengthen compliance across the organization.

The ideal candidate has substantial experience in supervision within financial services, strong regulatory knowledge, and proficiency with Excel; Series 7/24/65/66 are