Sr Analyst, Regulatory Program Management
TIAA•Frisco, TX
•$66,200 - $94,100•Onsite
About The Position
The Senior Analyst, Regulatory Program Management job evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job contributes to establishing operating routines and procedures that enable sound supervisory practices.
Requirements
- 5+ years of financial services experience
- Series 7 and 24 completed within 120 days of start date
Nice To Haves
- 7+ years of financial services experience
- Tenured experience researching and resolving issues
- Prior experience testing and monitoring procedures
- Proactive and willing to learn
- Flexible, a team player
Responsibilities
- Contributes to the creation and maintenance of processes that ensure adherence to regulatory requirements.
- Designs and executes the testing of regulatory processes and controls.
- Presents findings and applicable recommendations to management and/or appropriate business partners.
- Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
- Reviews documentation of business processes, risks and controls via business as usual engagement and ongoing partnerships.
- Evaluates policies and procedures currently in place within the organization to identify gaps and opportunities.
- Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
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
Mid Level
Education Level
Associate degree
