Supervisory Principal

This role is part of a centralized group of supervising principals responsible for ensuring representative activities align to firm and regulatory expectations.

Key Responsibilities and Duties Review and accept on behalf of the firm recommendations made to clients and / or review written correspondence and electronic communications to / from associated persons of the broker-dealer.

Proactively engage business partners across the organization to resolve or escalate issues.

Develop and maintain strong working relationships within the team and the business line stakeholders.

Educational Requirements University (Degree) Preferred Work Experience3+ Years Required; 5+ Years PreferredFINRA RegistrationsSRC Indicator:
Series 7;
Series 24

Licenses and Certifications Life and Health Insurance License (Resident State) - Multiple Issuers required

Physical Requirements

Physical Requirements:

Sedentary Work Career Level7

IC

Required Qualifications:

FINRA Series 7

Preferred Qualifications:

FINRA Series 24 (must be obtained in first 120 days)
Related Skills Business 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:

Base Pay Range: $59,100/yr - $76,400/yr Actual 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…