Sr Analyst, Regulatory Program Management

Senior Analyst, Regulatory Program Management

The Senior Analyst, Regulatory Program Management 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.

• 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.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• SRC Indicator:
  Series 7;
  Series 24

• Sedentary Work

8IC

• 5+ years of financial services experience
• Series 7 and 24 completed within 120 days of start date

• 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 player

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.