Sr Analyst, Regulatory Program Management

TIAA; 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

Sr Analyst, Regulatory Program ManagementThis website uses cookies to improve your browsing experience. Continue browsing or dismiss this message to accept.### Sr Analyst, Regulatory Program ManagementApply: Hybrid Flex: Dallas, TX, USA: Charlotte, NC, USA: Full time: Posted Today: End Date: November 27, 2026 (23 days left to apply): R260700332The 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*** 3+ 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:**2026-11-27Base 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).