Supervisory Principal

The Supervisory Principal manages a team of professionals that are responsible for supervising registered representatives, principals, and associated persons of the registered investment advisory/broker-dealer. This job ensures representative activities align to firm and regulatory expectations. This job also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.Key Responsibilities and Duties

Reviews and accepts on behalf of the firm recommendations made to clients and/or review written correspondence and electronic communications to/from associated persons of broker-dealer.

Conducts investigations based on findings and taking appropriate corrective actions to monitor the activities of FINRA registered individuals on heightened/enhanced Supervision

Completes the tracking of flagged items identified during risk-based supervisory reviews requiring additional action to be taken.

Manages periodic internal reviews in preparation for compliance or regulatory audits.

Promotes the adoption of controls and compliance through ongoing training, meetings, and consulting activities.

Engages business partners across the organization to resolve or escalate issues.

Develops and maintains strong working relationships within the team and the business line stakeholders.

Manages performance of team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional services and engagement, motivation and development of team.

Educational Requirements

University (Degree) Preferred

Work Experience

3+ Years Required; 5+ Years Preferred

FINRA Registrations

SRC Indicator: Series 7; Series 24

Licenses and Certifications

Life and Health Insurance License (Resident State) - Multiple Issuers required

Physical Requirements

Physical Requirements: Sedentary Work

Career Level7ICBase Pay Range: $59,200/yr. - $98,600/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. 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).Company OverviewTIAA 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 RewardsThe 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. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .Equal OpportunityWe 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) .Accessibility SupportTIAA 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.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:Phone: (800) 842-2755Email: accessibility.support@tiaa.orgPrivacy NoticesFor Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .For Applicants of Greenwood residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-privacy) .For Applicants of Greenwood residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-portuguese-privacy) .For Applicants of Westchester residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-privacy) .For Applicants of Westchester residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-portuguese-privacy) .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.