Regional Supervisory Principal – Regulatory Compliance Lead

Nuveen; 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

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