Regional Supervisory Principal

Regional Supervisory Principal

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker‑dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.

• Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.
• Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.
• Conducts periodic internal reviews in preparation for compliance or regulatory audits.
• Proactively engages business partners across the organization to resolve or escalare issues.
• Promotes the adoption of controls and compliance through ongoing training, meetings, and consulting activities.
• May participate in department initiatives and projects and serve as subject matter expert in business initiatives.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• SRC Indicator:
  Series 7;
  Series 24;
  Series 65 & Series 66 preferred

• Physical Requirements:
  
  Sedentary Work

8IC

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

$69,000/yr – $101,000/yr

We offer a comprehensive total rewards package that includes a superior retirement program and highly competitive health, wellness, and work‑life offerings designed to support both physical and financial well‑being.

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.