Managing Director - Regulatory Supervision

Regulatory Supervision
The Regulatory Supervision role leads the Broker Dealer (BD) organization across related supervisory, risk management, operational and oversight functions. This job drives organizational accountability, culture change and operational excellence for all oversight activities. This job has national impact for all operations and associates operating within the the organization's Broker Dealer department, extending well beyond own team and Individual Advisory Services.

Key Responsibilities and Duties

• Partners with key in-source support groups to manage the BD footprint across the enterprise to ensure operational excellence.
• Acts as the conduit for transparency to represent the BD with these groups and simultaneously provide the line of sight BD implications.
• Provides an early warning system of regulatory, supervisory, compliance and risk management developments that affect the BD, risk ranking and where decisions may be needed.
• Collaborates and maintains a comprehensive strategic BD supervisory oversight and risk management structure including oversight of external vendors to ensure controls are in place and appropriate testing of those controls.
• Leads large transformational projects and programs impacting a broad spectrum of functional specialties such as financial management, policy development, organizational development, quality management and/or performance metrics, resource and talent management.
• Drives efficiencies and quality of BD operations and the control functions through optimizing the planning and execution of oversight processes with a major emphasis on FINRA and SEC regulatory requirements and overall operational quality.
• Leads the development and monitoring of performance metrics that assess program effectiveness, efficiencies, and the implementation of improvement initiatives.
• Manages performance of direct reports through regular, timely feedback as well as the formal performance review process to ensure delivery of Broker Dealer objectives and engagement, motivation and development of the team.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 10+ Years Required

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
11PL

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:

2026-08-24

Base Pay Range: $179,000/yr - $264,000/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.

Our Culture of Impact

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.

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 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.

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

Email: [email protected]

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

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