Sr Analyst, Regulatory Program Management

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 Sedentary Work Career Level 8IC Required Qualifications 5+ years of financial services experience Series 7 and 24 completed within 120 days of start date Preferred Qualifications 7+ years of financial services experience Tenured experience researching and resolving issues Prior experience testing and monitoring procedures Proactive and willing to learn Flexible, a team player 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 2026-07-17 Base Pay Range $67,700/yr - $95,100/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 (e.g. annual discretionary incentive programs, non‑annual sales incentive plans, or other non‑annual incentive plans). 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. 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 Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status. Our full EEO & Non‑Discrimination statement is on our careers home page, and you can read more about your rights and view government notices here. #J-18808-Ljbffr TIAA