Regional Supervisory Principal

TIAA•Frisco, TX

1d•$59,100 - $76,400•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 position reviews and accepts client recommendations on behalf of the firm and reviews written correspondence and electronic communications to and from associated persons of the broker-dealer. It also works proactively with business partners to resolve or escalate issues and builds strong working relationships within the team and with business-line stakeholders.

Requirements

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

Nice To Haves

University degree preferred.
At least 5 years of work experience 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.
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.