Regulatory Program Lead, Broker-Dealer Compliance

TIAA; Frisco (TX); On-site; USD 92,000 - 122,000; Full time

Job summary

TIAA in Frisco, TX seeks a Regulatory Program Manager to ensure controls and processes align with regulatory requirements across broker-dealer activities. You will establish operating routines and supervisory practices, and present findings to management.

Ideal candidates have 5+ years in regulatory/compliance roles, hold or pursue FINRA Series 7 and Series 24, and can work across Distribution, HR, and technology to design and implement compliant programs.

Qualifications

• 5+ years of regulatory/compliance experience.
• FINRA Series 7 required; Series 24 to be obtained within 120 days.

Responsibilities

• Creates and maintains processes ensuring adherence to regulatory requirements.
• Designs evaluation and testing of regulatory processes and controls.
• Presents Compliance findings and recommendations to management.
• Leads cross-functional implementation of broker-dealer programs and analyzes regulatory risks.
• Evaluates reporting policies to identify gaps and weaknesses.
• Communicates new or revised policies and procedures to teams.

Skills

Business Acumen

Business Process Improvement

Communication

Compliance

Risk Management

Detail-Oriented

Relationship Management

Education

University Degree

Tools

FINRA Series 7

FINRA Series 24

Job description

TIAA in Frisco, TX seeks a Regulatory Program Manager to ensure controls and processes align with regulatory requirements across broker-dealer activities. You will establish operating routines and supervisory practices, and present findings to management.

Ideal candidates have 5+ years in regulatory/compliance roles, hold or pursue FINRA Series 7 and Series 24, and can work across Distribution, HR, and technology to design and implement compliant programs.