Regulatory Program Lead, Broker-Dealer Compliance
TIAA
TIAA in Frisco, TX seeks a Regulatory Program Manager to ensure controls and processes align with regulatory requirements across broker-dealer activities. You will establish operating routines and supervisory practices, and present findings to management. Ideal candidates have 5+ years in regulatory/compliance roles, hold or pursue FINRA Series 7 and Series 24, and can work across Distribution, HR, and technology to design and implement compliant programs. #J-18808-Ljbffr TIAA
Vacancy posted 3 days ago
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