Hiring difference makers.

Compliance Officer- Broker Dealer Compliance & Registered Investment Advisor

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Legal, Compliance, & Risk
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TIAA
Thanks for your interest in the Compliance Officer- Broker Dealer Compliance & Registered Investment Advisor position. Unfortunately this position has been closed but you can search our 268 open jobs by clicking here.
Required Qualifications:
  • Bachelor’s degree
  • 5+ years of Broker Dealer and/or RIA compliance experience
 
Preferred Qualifications:
  • Master’s Degree
  • Series 7 and Series 24 or ability to obtain within 6 months of hire
  • 7+ years working within a legal, compliance or business unit in a financial services firm distributing and servicing RIA/BD products
  • Background or experience in a relevant regulatory agency a plus
  • Previous experience working with regulatory authorities desirable
  • Strong organizational and reporting skills
  • Strong executive presence and relationship management skills
  • Excellent quantitative, analytical and problem solving skills
  • Excellent written and oral communication skills including presentation and public speaking skills
  • Able to work independently and collaboratively with team members at all levels
  • Proficient with technology and information systems
  • Strong Microsoft Office skills (Word, VISIO and Excel)
  • Pivot tables in Excel
 
 
 

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.

 


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