Manager, Regulatory Program Management

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.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
9IC

Additional Job Details

This role is responsible for developing, refining, and updating process documentation including Standard Operating Procedures (SOPs) for specified business areas. The role will facilitate working sessions with stakeholders and Subject Matter Experts (SMEs) to gather insights to document processes in alignment with policies and regulatory requirements. Review of adequate controls and final approvals must be incorporated as applicable. Additional responsibilities include thorough and ongoing reviews of documentation to ensure accuracy, clarity, and compliance while maintaining version control and documentation integrity.

Desired Qualifications

• Technical writing or experience with process documentation, preferably within the regulatory environment.
• The ability to create clear and concise documentation
• Strong facilitation and collaboration skills, with experience engaging stakeholders.
• High attention to detail and organizational skills, with the ability to manage multiple priorities and meet deadlines.

Related Skills

Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring

Anticipated Posting End Date:

2025-05-01

Base Pay Range: $86,300/yr. - $135,000/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). 

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Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

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. To learn more about your benefits, please review our