Manager, Regulatory Program Management

TIAA•Frisco, TX

2d•Onsite

About The Position

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. This role works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls. Ideal candidates would have strong product knowledge, technical skills, and thrive in a collaborative, fast-paced environment.

Requirements

5+ years of experience
FINRA Series 7
FINRA Series 24 (to be obtained within 120 days)

Nice To Haves

7+ years experience
Strong product knowledge
Technical skills
Thrive in a collaborative, fast-paced environment

Responsibilities

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.
Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.