SMD, General Counsel, TIAA Wealth & Advice Solutions

TIAA•Washington, DC

About The Position

The General Counsel, Wealth Management & Advice Solutions will serve as the primary legal authority on all matters arising from the dual registration of TIAA-CREF Individual & Institutional Services, LLC, ensuring that the organization operates in full compliance with applicable SEC, FINRA, and state regulatory requirements. The role requires proactive identification and management of legal risk across all lines of business, with particular attention to conflicts of interest and the heightened scrutiny that characterizes the current regulatory environment. This includes providing guidance on activities that implicate overlapping regulatory regimes and making sophisticated, well-reasoned determinations about when broker-dealer obligations, investment advisory duties, or both apply to a given business practice. This is a high-impact, senior leadership role requiring an attorney who is equally adept at navigating complex regulatory frameworks and functioning as a trusted strategic partner to senior business leaders. The successful candidate will bring deep expertise in securities law, a sophisticated understanding of evolving fiduciary and broker-dealer standards, and the business acumen to translate legal requirements into clear, actionable guidance.

Requirements

University (Degree) Preferred
10+ Years Required
Physical Requirements: Sedentary Work
Accountability
Adaptability
Communication
Digital Savviness
Influence
Legal Collaboration / Consensus Building
Legal Counsel Expertise / Advisory
Legal Negotiation / Contract Management
Legal Risk Management
Legal Writing
Problem Solving
Relationship Management

Nice To Haves

Juris Doctor (J.D.) from an accredited law school and active bar membership in good standing
A minimum of 12 years of legal experience, with substantial focus on securities regulation, broker-dealer compliance, or investment advisory law
Deep, demonstrated expertise in the regulatory frameworks governing dually registered broker-dealers and investment advisers
Proven ability to serve as a strategic legal partner to senior business and technology leaders, translating complex legal requirements into practical, business-oriented guidance
Experience managing or providing legal oversight of technology-driven or digital financial services products
Excellent written and oral communication skills, including the ability to present complex legal analysis clearly to non-legal audiences
Demonstrated ability to exercise sound independent judgment and operate effectively in conditions of ambiguity or evolving regulatory guidance
Experience in a senior legal leadership role at a major financial services firm, wealth management organization, or registered investment adviser
Familiarity with 529 college savings plan regulations and multi-state program structures
Prior experience advising on algorithmic or robo-advisory platforms, including associated data privacy and cybersecurity considerations
Knowledge of state securities laws and multi-state regulatory coordination affecting retail brokerage or investment advisory operations
Experience engaging directly with SEC or FINRA examination and enforcement staff
Background in or exposure to trust and estate law as it intersects with wealth management services
Demonstrated success leading, developing, and retaining high-performing legal teams in a fast-paced, complex environment

Responsibilities

Proactive identification and management of legal risk across all lines of business, with particular attention to conflicts of interest and the heightened scrutiny
Work closely with senior leadership across business, technology, and operations to support growth initiatives and strategic transformations.
Function as a business enabler — understanding organizational priorities deeply enough to offer forward-looking legal counsel that balances opportunity with prudent risk management, rather than simply identifying obstacles.
Cultivate and maintain strong relationships with key internal stakeholders and external regulators, including the SEC and FINRA.
Monitor regulatory developments, assess their business implications, and recommend timely and proportionate responses.
Engage constructively with regulators, manage examinations and inquiries effectively, and represent the organization's interests credibly and professionally is a core expectation of this role.
Provide counsel on a range of issues unique to technology-enabled financial services
Provide direction, mentorship, and oversight to a team of attorneys and legal professionals supporting the wealth management and retail brokerage businesses, fostering a culture of excellence, collaboration, and sound judgment.

Benefits

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.

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