Senior Supervisory Principal: Regulatory & Client Oversight

Nuveen; Charlotte (NC); On-site; USD 59,000 - 76,000; Full time

Job summary

TIAA is seeking a supervising principal to oversee client recommendations and communications for broker-dealer associates in Charlotte, NC. The role focuses on regulatory alignment and firm standards, with collaboration across business partners to resolve issues.

Ideal candidates hold FINRA Series 7 (required) and Series 24 (preferred after 120 days) along with a Life and Health Insurance license in the resident state, and have 3+ years’ experience (5+ preferred).

Qualifications

• University (Degree) Preferred.
• 3+ Years Required; 5+ Years Preferred.
• FINRA Series 7; Series 24
• Life and Health Insurance License (Resident State) - Multiple Issuers required.

Responsibilities

• Review and accept on behalf of the firm recommendations and written communications.
• Proactively engage business partners to resolve or escalate issues.
• Develop and maintain strong working relationships within the team and stakeholders.

Skills

Business Acumen

Communication

Compliance

Risk Management

Relationship Management

Continuous Improvement

Detail-Oriented

Influence

Education

University (Degree) Preferred

Job description

TIAA is seeking a supervising principal to oversee client recommendations and communications for broker-dealer associates in Charlotte, NC. The role focuses on regulatory alignment and firm standards, with collaboration across business partners to resolve issues.

Ideal candidates hold FINRA Series 7 (required) and Series 24 (preferred after 120 days) along with a Life and Health Insurance license in the resident state, and have 3+ years’ experience (5+ preferred).