Regional Supervisory Principal
TIAA•Charlotte, NC
•Onsite
About The Position
The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.
Requirements
- 5+ Years Required
- FINRA Registrations: Series 7; Series 24; Series 65 & Series 66 preferred
- Physical Requirements: Sedentary Work
- Detailed research skills
- Naturally curious
- Experience with Excel
- Knowledge of enterprise operations with high resolve and strong relationship management skills
Nice To Haves
- 7+ Years Preferred
- A background in compliance and supervision is preferred
Responsibilities
- Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.
- Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.
- Conducts periodic internal reviews in preparation for compliance or regulatory audits.
- Proactively engage business partners across the organization to resolve or escalate issues.
- Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities.
- May participate in department initiatives and projects and serve as subject matter expert in business initiatives.
Benefits
- superior retirement program
- highly competitive health, wellness and work life offerings
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
Associate degree
