Sr Analyst, Regulatory Program Management

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

## Sr Analyst, Regulatory Program ManagementApplyremote type: Hybrid Flexlocations: Dallas, TX, USA: Charlotte, NC, USAtime type: Full timeposted on: Posted 7 Days Agotime left to apply: End Date: August 14, 2026 (15 days left to apply)job requisition id: R260300445The Senior Analyst, Regulatory Program Management job evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job contributes to establishing operating routines and procedures that enable sound supervisory practices. **Key Responsibilities and Duties*** 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.**Educational Requirements*** University (Degree) Preferred**Work Experience*** 5+ Years Required; 7+ Years Preferred**FINRA Registrations*** SRC Indicator: Series 7; Series 24**Physical Requirements*** Physical Requirements: Sedentary Work **Career Level** 8IC **Required Qualifications*** 5+ years of financial services experience* Series 7 and 24 completed within 120 days of start date **Preferred Qualifications*** 7+ years of financial services experience* Tenured experience researching and resolving issues* Prior experience testing and monitoring procedures* Proactive and willing to learn* Flexible, a team playerRelated SkillsBusiness Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring**Anticipated Posting End Date:**2026-08-14Base Pay Range: $67,700/yr - $95,100/yrActual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**Company Overview**Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.**Our Culture of Impact**At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.**Benefits and Total Rewards**The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.**Equal Opportunity**We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.Our full EEO & Non-Discrimination statement is on our careers home page, and you can read more about your rights and view government notices here.**Accessibility Support**TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:Phone: [phone]Email: [e-mail]**Drug and Smoking Policy**TIAA maintains a drug-free and smoke/free workplace.**Privacy Notices**For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.For Applicants of TIAA Global Capabilities, click here.For Applicants of Nuveen residing in Europe and APAC, please click here.### About UsTIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.