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Regulatory Supervision Director
- Type:
- Full Time
- Location(s):
- Waltham, MA 02451, United States
- 225 Wyman Street, Waltham, MA 02451, United States
- 225 High Ridge Road, Stamford, CT 06905, United States
- 194 Wood Avenue, Woodbridge Township, NJ 08830, United States
- 730 3rd Avenue, New York, NY 10017, United States
- 155 Village Boulevard, Princeton, NJ 08540, United States
- 75 Isham Road, West Hartford, CT 06107, United States
- Date Posted:
- Salary:
- Base Pay Range: $105,800/yr - $155,000/yr
- Job Posting End Date:
- 2025-05-08-07:00
- Job ID:
- R250300129
The Regulatory Supervision job leads a team of supervisory principals responsible for supervising registered representatives and associated persons of the broker-dealer. This job ensures firm compliance with FINRA, SEC, MSRB, OCC, state and other regulators, as well as internal policies and procedures.
Key Responsibilities and Duties
- Provides advice and interpretation of code of ethics and compliance, including corporate policies and procedures to assigned business unit or units.
- Oversees development of relevant programs to ensure compliance and reduce risk.
- Supports and leads business and regulatory driven strategic and tactical initiatives.
- Provides overall leadership, guidance, and supervision expertise to team of supervising principals and internal business partners.
- Drives continuous improvement initiatives.
- University (Degree) Preferred
- 5+ Years Required; 7+ Years Preferred
- SRC Indicator: Series 7; Series 24
- Physical Requirements: Sedentary Work
Career Level
8PL
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.
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