Senior Regulatory Program Lead for Controls & Compliance

TIAA; Town of Charlotte (NY); On-site; USD 68,000 - 95,000; Full time

Job summary

TIAA is seeking a Senior Analyst, Regulatory Program Management to assess the reliability and effectiveness of internal controls across the organization. The role focuses on regulatory requirements and oversight of broker-dealer activities to establish sound supervisory practices.

Key responsibilities include testing regulatory processes, communicating findings to leadership, and guiding cross-functional implementation of broker-dealer programs.

Qualifications

• 5+ years of financial services experience
• Series 7 and 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.]
• CoT_job_summary_short way: COMPANY NAME: TIAAKEY POINTS: Regulatory program mgmt, internal controls, FINRA licenses

Skills

Regulatory experience

Internal controls

Financial services

Risk management

Communication

Cross-functional collaboration

Testing & monitoring

Education

University degree preferred

Tools

Series 7

Series 24

Job description

TIAA is seeking a Senior Analyst, Regulatory Program Management to assess the reliability and effectiveness of internal controls across the organization. The role focuses on regulatory requirements and oversight of broker-dealer activities to establish sound supervisory practices.

Key responsibilities include testing regulatory processes, communicating findings to leadership, and guiding cross-functional implementation of broker-dealer programs.