Sr Analyst, Regulatory Program Management

Key Responsibilities And Duties

• 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.

Qualifications

• 5+ years of financial services experience
• Series 7 and 24 completed within 120 days of start date
• Preferred: 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

Physical Requirements

Sedentary Work

Career Level

8IC Required

Company Overview

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being.

Benefits And Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being.

Accessibility Support

We offer support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

Drug and Smoking Policy

TIAA maintains a drug-free and smoke-free workplace.

Privacy Notices

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