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TIAA
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COMPANY OVERVIEW:

 

TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.

 

     

 

POSITION SUMMARY:

 

The role performs a variety of delegated first line supervisory functions.  Working directly with the OSJ/Branch Office Manager, the role is responsible for conducting investigations based on any findings and taking appropriate corrective action as needed.  The role serves as the central resource for supervision and compliance developing relationships, addressing questions and educating the Registered Representatives and Associated Persons within the Regional Market

 

KEY RESPONSIBILITIES AND DUTIES:
 

  • Provide timely supervision updates and communication to the OSJ/Branch Office Manager

  • Conducts risk-based and higher risk sales activity reviews

  • Review complaints and FINRA summaries

  • Assists in the implementation of policy and procedures to facilitate first line supervision

  • Monitors and conducts supervision activities as needed for individuals on Heightened/Enhanced Supervision

  • Conducts branch inspection in preparation for compliance or regulatory audits

  • Supports / reviews compliance, operations and other corporate communications to disseminate relevant materials as needed

  • Conducts compliance meetings

  • Maintains OSJ and Office books and record

  •  Must travel within regional market                     

 

 

 

 

 

 

QUALIFICATIONS:


 
  • Active FINRA Series 7 and Series 24 (or 9/10 and 23)
  • 3+ years of broker dealer/regulatory and corporate business experience
 
 
PREFERRED QUALIFICATIONS:
 
  • Bachelors degree or equivalent experience
  • 5+ years of broker dealer/regulatory and corporate business experience.
  • Series 65 and Insurance License.
  • Strong written and verbal communication skills, including reports and presentations.
  • Strong organizational, time management, analytical and negotiation skills.
  • Ability to identify and address issues, set expectations, coach and take corrective actions as needed.
  • Ability to execute multiple assignments with minimal oversight.
  • Ability to effectively communicate, lead, and motivate.
  • Experience with Microsoft Office, including Excel, Word and PowerPoint
  • Maintains the highest standards of integrity, respect, and confidentiality


Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

 

If you need assistance applying due to visually or hearing impaired, please email Careers Help.

 

We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.


*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017


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