Regional Supervisory Principal - FINRA & Compliance

TIAA; Charlotte (NC); On-site; USD 59,000 - 76,000; Full time

Job summary

TIAA is seeking a supervising principal to ensure activities align with firm and regulatory expectations. This role involves reviewing client recommendations, engaging partners across the organization, and building strong relationships within the team and stakeholders.

The position requires FINRA Series 7, with Series 24 preferred within 120 days and a university degree is preferred. The base pay range is listed, with potential incentive components based on performance and location.

Qualifications

• FINRA Series 7 required.
• Series 24 preferred (must be obtained in first 120 days).
• University/degree preferred.
• 3+ years experience required; 5+ preferred.

Responsibilities

• Review and accept on behalf of the firm recommendations to clients and/or review written correspondence and electronic communications.
• Proactively engage business partners across the organization to resolve or elevate issues.
• Develop and maintain strong working relationships within the team and the business line stakeholders.

Skills

Communication

Detail-oriented

Risk management

Relationship management

Compliance

Influence

Business acumen

Education

University degree preferred

Tools

FINRA Series 7

FINRA Series 24

Life and Health Insurance License

Job description

TIAA is seeking a supervising principal to ensure activities align with firm and regulatory expectations. This role involves reviewing client recommendations, engaging partners across the organization, and building strong relationships within the team and stakeholders.

The position requires FINRA Series 7, with Series 24 preferred within 120 days and a university degree is preferred. The base pay range is listed, with potential incentive components based on performance and location.