Sr Analyst, Regulatory Program Management
TIAA•Frisco, TX
•Onsite
About The Position
The Senior Analyst, Regulatory Program Management evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this role ensures adherence to regulatory standards and appropriate oversight of broker-dealer activities. It contributes to establishing operating routines and procedures that support sound supervisory practices.
Requirements
- At least 3 years of financial services experience.
- Series 7 and Series 24 completed within 120 days of the start date.
- University degree preferred.
Nice To Haves
- At least 7 years of financial services experience.
- Tenured experience researching and resolving issues.
- Prior experience testing and monitoring procedures.
- Proactive and willing to learn.
- Flexible and a team player.
Responsibilities
- Contribute to creating and maintaining processes that ensure adherence to regulatory requirements.
- Design and execute testing of regulatory processes and controls.
- Present findings and applicable recommendations to management and appropriate business partners.
- Oversee cross-functional implementation of broker-dealer programs, including analysis of regulatory risks in operational areas.
- Review documentation of business processes, risks, and controls through business-as-usual engagement and ongoing partnerships.
- Evaluate existing organizational policies and procedures to identify gaps and opportunities.
- Communicate new or revised policies, procedures, processes, and related documents to appropriate team members and business units.
Benefits
- Superior retirement program.
- Health, wellness, and work-life offerings.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
