Regional Supervisory Principal

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

Benefits offered by this job

Hybrid work model

Job summary

Nuveen is seeking a Regional Supervisory Principal to oversee client communications and ensure alignment with firm and regulatory expectations. This hybrid role covers Dallas, TX and Charlotte, NC, with flexibility for hybrid work.

The position reports into the centralized supervisory team and emphasizes risk management, compliance, and cross‑department collaboration. The role requires 3+ years of relevant experience (5+ preferred), FINRA Series 7, and an insurance license, with Series 24

Qualifications

• FINRA Series 7 required.
• Series 24 preferred (must be obtained within 120 days).
• Life and Health Insurance License (Resident State) - Multiple Issuers required.

Responsibilities

• Review and accept on behalf of the firm recommendations written to clients or reviewed communications to/from associated persons of the broker‑dealer.
• Proactively engage business partners across the organization to resolve or escalate issues.
• Develop and maintain strong working relationships within the team and business line stakeholders.

Skills

FINRA Series 7

Relationship Management

Communication

Risk Management

Process Improvement

Compliance

Detail‑Oriented

Influence

Education

University degree preferred

Job description

## Regional Supervisory PrincipalApply: Hybrid Flex: Dallas, TX, USA: Charlotte, NC, USA: Full time: Posted Yesterday: End Date: December 4, 2026 (28 days left to apply): R260900096This role is part of a centralized group of supervising principals responsible for ensuring representative activities align to firm and regulatory expectations. **Key Responsibilities and Duties*** Review and accept on behalf of the firm recommendations made to clients and / or review written correspondence and electronic communications to / from associated persons of the broker-dealer.* Proactively engage business partners across the organization to resolve or escalate issues.* Develop and maintain strong working relationships within the team and the business line stakeholders.**Educational Requirements*** University (Degree) Preferred**Work Experience*** 3+ Years Required; 5+ Years Preferred**FINRA Registrations*** SRC Indicator: Series 7; Series 24**Licenses and Certifications*** Life and Health Insurance License (Resident State) - Multiple Issuers required**Physical Requirements*** Physical Requirements: Sedentary Work **Career Level** 7IC **Required Qualifications:*** FINRA Series 7 **Preferred Qualifications:*** FINRA Series 24 (must be obtained in first 120 days)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:**2026-12-04Base Pay Range: $59,100/yr - $76,400/yrActual 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).