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.

Key Responsibilities and Duties

• 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.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• SRC Indicator: Series 7; Series 24

• Physical Requirements: Sedentary Work

ADDITIONAL JOB DESCRIPTION details to complement the aforementioned:

This role is responsible for supporting the Conflicts Officer in overseeing our BD/RIA Conflicts of Interest (COI) program, working across functions to ensure a robust COI program is in place.  This role is not limited to compliance with any one regulatory regime but will encompass SEC, FINRA, DOL, and State conflicts of interest requirements.  The Manager, Regulatory Program Management will report to the Conflicts of Interest Officer and is responsible for a wide variety of conflicts related activities ranging from assisting in designing and running the program, assessing risks, conducting and overseeing testing, and reporting results.

KEY RESPONSIBILITIES AND DUTIES:

• Contributing to the design of an overall program that identifies, mitigates and reviews conflicts of interest across all of the business lines within the TC Services broker/dealer and investment adviser.  Program elements include, but are not limited to policies & procedures, training, supervision and monitoring, conflicts inventory management, testing oversight, annual planning, annual compensation testing/monitoring, reporting, etc.
• Providing COI guidance, training and oversight to business partners both within and outside of Regulatory Supervision
• Working with other second line of defense and specialty areas to address conflicts of interest issues or events as they may arise
• Assessing the impact of new regulations and / or business processes on the COI program.
  • Adapting or creating policies and procedures and internal and external disclosures and other messaging
  • Guiding the development of a plan and materials to prepare the organization for new regulations, including the development and execution of employee training and internal  communications
• Participating in business governance councils as required
• Acting as a subject matter expert on COI issues arising in any business enterprise
• Support TC Services in relevant regulatory audits

MINIMUM QUALIFICATIONS:

• Active Series 7 and 24
• 5+ years specifically of broker dealer experience
• BA/BS degree preferred or equivalent work experience

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). 

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Company Overview

TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.

COVID-19 Vaccination

TIAA requires all U.S. employees to be fully vaccinated against COVID-19 and provide documentation of full vaccination, unless you qualify for an accommodation as determined by TIAA consistent with applicable law.

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 benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

Read more about the Equal Opportunity Law here.

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities. 

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team: 

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

Privacy Notices

For residents of California, please click here to access the TIAA CA Applicant Privacy Notice.

For residents of the EU / UK, please click here to access the EU / UK Pre-employment Notice.

For all other residents, click here to access the Applicant Privacy Notice.