Regional Supervisory Principal

Nuveen; Charlotte, Northern (NC, KY); Hybrid; USD 71,000 - 96,000; Full time

Benefits offered by this job

Incentive programs

Job summary

TIAA, in collaboration with Nuveen, seeks a compliance supervision professional to oversee registered representatives in Charlotte and NYC, ensuring adherence to regulatory guidelines. The role emphasizes risk review, training, and cross-functional collaboration to resolve issues and drive control improvements.

The ideal candidate has extensive compliance background, familiarity with FINRA rules, strong research skills, and proficiency in Excel.

Qualifications

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

Responsibilities

• Supervises services personnel and processes to ensure compliance with company guidelines and industry rules.
• Reviews sales activity with strong knowledge of products and oversight.
• Performs internal reviews for regulatory audits and raises issues to partners.
• Engages business partners to resolve issues and promote controls through training and consulting.
• Serves as subject matter expert in business initiatives and participates in department projects.

Skills

Business Acumen

Compliance

Risk Management

Relationship Management

Detail-Oriented

Communication

Process Improvement

Education

University (Degree)

Tools

Excel

Job description

Key Responsibilities and Duties

Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations. Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight. Conducts periodic internal reviews in preparation for compliance or regulatory audits. Proactively engage business partners across the organization to resolve or elevate issues. Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities. May participate in department initiatives and projects and serve as subject matter expert in business initiatives.

Educational Requirements

University (Degree)

Preferred Work Experience

5+ Years Required; 7+ Years Preferred

FINRA Registrations

SRC Indicator: Series 7; Series 24; Series 65 & Series 66 preferred

Physical Requirements

Physical Requirements: Sedentary Work

Additional Details

Work Career Level 8IC

This individual will oversee registered representatives in the Charlotte and New York City locations. A background in compliance and supervision is preferred. Ideal candidate possesses detailed research skills and is naturally curious. Experience with Excel. Knowledge of enterprise operations with high resolve and strong relationship management skills.

Related 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

Anticipated Posting End Date

2026-09-28

Base Pay Range

$70,500/yr - $95,800/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. Our full EEO & Non-Discrimination statement is on our careers home page, and you can read more about your rights and view government notices here.

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. If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team: Phone: [phone] Email: [e-mail]

Drug and Smoking Policy

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

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace. EEO is the Law Pay Transparency Philadelphia Ban the Box