TIAA Manager, Regulatory Program Management in Pasadena, California
The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.
Key Responsibilities and Duties
Creates and maintains processes that ensure adherence to regulatory requirements.
Designs the evaluation and testing of regulatory processes and controls.
Presents reports of Compliance findings and applicable recommendations to management.
Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
- University (Degree) Preferred
- 5+ Years Required; 7+ Years Preferred
- SRC Indicator: Series 7; Series 24
- Physical Requirements: Sedentary Work
Additional Job Responsibilities
This job is responsible for business management routine and project execution of desired objectives for Regulatory Supervision. With a high-degree of focus on driving projects and priorities, the scope of work includes developing project schedules and determining resource requirements necessary to ensure success, often within fixed timelines. Additional responsibilities includes the monitoring of business operations and status reporting to leaders.
- Â FINRA Series 7 & 24 license required within 120 days of start date
Project portfolio management
Excellent written and oral communication skills
Ability to collaborate across multiple teams and business units
Strong ability to multi-task and balance competing priorities
Task oriented with excellent attention to detail including documentation and reports
Proactive leader and takes initiative to improve process and procedures where applicable
Financial services industry experience
Focus on continuous improvement and automation
Challenge and enhance controls and processes through a risk-based lens
Base Pay Range: $86,300/yr. - $143,900/yr.
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location.Â In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).Â
TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.
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. Thatâs 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. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .
We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Read more about the Equal Opportunity Law here (https://www.dol.gov/general/topics/posters) .
TIAA offers 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.Â
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:Â
Phone: (800) 842-2755
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TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.