Senior Regulatory Programs Analyst - Hybrid

Nuveen; Texas; Hybrid; USD 68,000 - 95,000; Full time

Job summary

Nuveen seeks a Senior Analyst for Regulatory Program Management to evaluate internal controls and ensure adherence to regulatory standards across broker-dealer activities.

The role requires a university degree, 3+ years in financial services (Series 7/24 completed within 120 days), and strong testing of regulatory processes. Hybrid role with Dallas or Charlotte offices and a competitive base salary.

Qualifications

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

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.

Skills

Regulatory knowledge

Financial services

Risk management

Process improvement

Stakeholder communication

Testing controls

Education

University degree preferred

Job description

Nuveen seeks a Senior Analyst for Regulatory Program Management to evaluate internal controls and ensure adherence to regulatory standards across broker-dealer activities.

The role requires a university degree, 3+ years in financial services (Series 7/24 completed within 120 days), and strong testing of regulatory processes. Hybrid role with Dallas or Charlotte offices and a competitive base salary.