Senior Regulatory Programs Lead

TIAA

Charlotte (NC)

On-site

USD 68,000 - 95,000

Full time

5 days ago

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Job summary

TIAA is seeking a Senior Analyst, Regulatory Program Management to evaluate internal controls across the company and ensure adherence to regulatory standards for broker dealer activities. The role focuses on operating routines and procedures that enable sound supervisory practices in a complex financial services environment.

The position requires 5+ years in financial services, Series 7 and 24 within 120 days, and a university degree.

Qualifications

3+ years of financial services experience
Series 7 and 24 completed within 120 days of start date
Bachelor's degree or equivalent 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.
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.