Regional Supervisory Principal

TIAA • Frisco, TX

3d • Onsite

About The Position

This role is part of a centralized group of supervising principals responsible for ensuring representative activities align with firm and regulatory expectations. The Regional Supervisory Principal reviews and accepts recommendations made to clients on behalf of the firm and reviews written correspondence and electronic communications to and from associated persons of the broker-dealer. The role also involves working proactively with business partners to resolve or escalate issues and developing strong relationships within the team and with business-line stakeholders.

Requirements

• At least 3 years of required work experience.
• FINRA Series 7 registration.
• Life and Health Insurance License in the resident state, with multiple issuers required.

Nice To Haves

• At least 5 years of work experience preferred.
• University degree preferred.
• FINRA Series 24 preferred; must be obtained within the first 120 days.

Responsibilities

• Review and accept on behalf of the firm recommendations made to clients.
• Review written correspondence and electronic communications to and from associated persons of the broker-dealer.
• Proactively engage business partners across the organization to resolve or escalate issues.
• Develop and maintain strong working relationships within the team and with business-line stakeholders.

Benefits

• Superior retirement program.
• Competitive health, wellness, and work-life offerings.
• Compensation may include participation in an incentive program linked to performance, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed