Senior Regulatory Controls & Compliance Lead

TIAA; Dallas (TX); On-site; USD 68,000 - 95,000; Full time

Job summary

TIAA in Dallas, TX is seeking a Senior Analyst, Regulatory Program Management to strengthen internal controls and regulatory compliance across broker-dealer activities.

The role focuses on testing regulatory processes, identifying gaps, and presenting actionable recommendations to leadership. Must have Series 7/24 within 120 days and 3+ years in financial services. Excellent cross-functional collaboration skills are required for success.

Qualifications

• 3+ years of financial services experience
• Series 7 and Series 24 completed within 120 days of start date

Responsibilities

• Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.
• Designs and executes the testing of regulatory processes and controls.
• Presents findings and applicable recommendations to management and/or appropriate business partners.
• Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.
• Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Skills

Regulatory knowledge

Risk management

Communication

Analytical thinking

Attention to detail

Business acumen

Cross-functional collaboration

Education

University degree preferred

Job description

TIAA in Dallas, TX is seeking a Senior Analyst, Regulatory Program Management to strengthen internal controls and regulatory compliance across broker-dealer activities.

The role focuses on testing regulatory processes, identifying gaps, and presenting actionable recommendations to leadership. Must have Series 7/24 within 120 days and 3+ years in financial services. Excellent cross-functional collaboration skills are required for success.