Manager, Regulatory Program Management

The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.

• Creates and maintains processes that ensure adherence to regulatory requirements.
• Designs the evaluation and testing of regulatory processes and controls.
• Presents reports of Compliance findings and applicable recommendations to management.
• Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• SRC Indicator:
  Series 7;
  Series 24

• Physical Requirements:
  
  Sedentary Work

9IC

This role works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls. Ideal candidates would have strong product knowledge, technical skills, and thrive in a collaborative, fast-paced environment.

• 5+ years of experience
• FINRA Series 7
• FINRA Series 24 (to be obtained within 120 days)

• 7+ years experience

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

Base Pay Range: $92,300/yr - $122,000/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).

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.

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.…