Regional Supervisory Principal

Regional Supervisory Principal Key Responsibilities and Duties Supervises services personnel and processes to ensure adherence to company compliance guidelines and industry rules and regulations. Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight. Conducts periodic internal reviews in preparation for compliance or regulatory audits. Proactively engages business partners across the organization to resolve or escalate issues. Promotes the adoption of controls and compliance through ongoing training, meetings, and consulting activities. May participate in department initiatives and projects and serve as subject matter expert in business initiatives. Qualifications Educational Requirements: University (Degree) Preferred Education: University (Degree) Work Experience: 5+ Years Required; 7+ Years Preferred FINRA Registrations: Preferred Series 7, Series 24, Series 65, Series 66 Physical Requirements Sedentary work. 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 Base Pay Range: $69,000/yr – $101,000/yr (actual base salary may vary based on experience, time in role, peer pay, performance, sector, and location). Anticipated Posting End Date: 2026-06-08. We are an Equal Opportunity Employer. TIAA does not discriminate based on age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status. #J-18808-Ljbffr Nuveen