Skip to main content

This job has expired

Sr. Analyst, Regulatory Program Management

Frisco, Texas,hybrid
Base Pay Range: $69,300/yr. - $100,000/yr.
Closing date
Jul 5, 2024

View more

Job Role
Employment Type
Full Time
Experience Level
5 to 9 years
CFP® Certification
Not necessary

Job Details

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.

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.

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

Series 7 and 24 required within 120 days of start date

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:


Base Pay Range: $69,300/yr. - $100,000/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). 

Company Overview

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. 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.

Equal Opportunity

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.

Accessibility Support

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. 

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) 842-2755


Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.

For Applicants of Nuveen residing in Europe and APAC, please click here.

For Applicants of Greenwood residing in Brazil (English), click here.

For Applicants of Greenwood residing in Brazil (Portuguese), click here

For Applicants of Westchester residing in Brazil (English), click here.

For Applicants of Westchester residing in Brazil (Portuguese), click here


Learn more about this company

Visit this company’s hub to learn about their values, culture, and latest jobs.

Visit employer hub

Learn more about this company

Visit this company’s hub to learn about their values, culture, and latest jobs.

Visit employer hub

Get job alerts

Create a job alert and receive personalized job recommendations straight to your inbox.

Create alert