Senior Regulatory Programs Lead - Hybrid/Remote

Nuveen; Dallas, Northern (TX, KY); Hybrid; USD 85,000 - 125,000; Full time

Job summary

Nuveen is seeking a Senior Analyst, Regulatory Program Management in a hybrid Dallas, TX/Charlotte, NC role. You will support regulatory compliance across broker-dealer activities, design tests for controls, and present findings to leadership.

The role requires 5+ years in financial services, Series 7/24 within 120 days, and strong regulatory expertise. Collaboration with multiple teams and ongoing risk evaluation are key parts of the job.

Qualifications

• 5+ years of financial services experience
• Series 7 and 24 completed within 120 days of start date
• Experience testing and monitoring procedures preferred
• Strong regulatory knowledge and ability to design tests for regulatory processes

Responsibilities

• Contributes to the creation and maintenance of processes ensuring adherence to regulatory requirements
• Designs and executes testing of regulatory processes and controls
• Presents findings and recommendations to management and business partners
• Oversees cross-functional implementation of broker dealer programs including regulatory risk analysis
• Reviews documentation of business processes, risks and controls
• Evaluates policies to identify gaps and opportunities
• Communicates new or revised policies and procedures to teams

Skills

Regulatory knowledge

Testing & controls

Communication

Risk management

Cross-functional collaboration

Business Acumen

Business Process Improvement

Business Process Understanding

Compliance

Continuous Improvement Mindset

Detail-Oriented

General Risk Management

Influence

Relationship Management

Risk Mitigation

Risk Monitoring

Education

University degree preferred

Job description

Nuveen is seeking a Senior Analyst, Regulatory Program Management in a hybrid Dallas, TX/Charlotte, NC role. You will support regulatory compliance across broker-dealer activities, design tests for controls, and present findings to leadership.

The role requires 5+ years in financial services, Series 7/24 within 120 days, and strong regulatory expertise. Collaboration with multiple teams and ongoing risk evaluation are key parts of the job.