Sr Analyst, Regulatory Program Management
TIAA · Dallas, TX
- On site
- Full-time
- $80,000 / year
- Dallas, TX
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Job highlights
- Evaluate internal controls and ensure regulatory adherence.
- Design and test regulatory processes and controls.
- Oversee broker dealer program implementation.
- Analyze regulatory risks in operations.
- Identify policy and procedure gaps.
About the role
Job Summary
The Senior Analyst, Regulatory Program Management at TIAA is responsible for evaluating the effectiveness of internal controls and ensuring adherence to regulatory standards, particularly concerning broker-dealer activities. This role involves designing and executing tests of regulatory processes, presenting findings, and overseeing the implementation of broker-dealer programs. You will work closely with business partners to review documentation, identify gaps in policies and procedures, and communicate changes.
Key Responsibilities And Duties
- Contribute to the creation and maintenance of processes ensuring adherence to regulatory requirements.
- Design and execute testing of regulatory processes and controls.
- Present findings and recommendations to management and business partners.
- Oversee cross-functional implementation of broker-dealer programs, analyzing regulatory risks.
- Review business process documentation, risks, and controls through ongoing partnerships.
- Evaluate existing policies and procedures to identify gaps and opportunities.
- Communicate new or revised policies, procedures, and processes to relevant team members and 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
Key skills/competency
- Regulatory Program Management
- Internal Controls
- Broker Dealer Activities
- Risk Management
- Compliance
- Financial Services
- Process Improvement
- Policy Evaluation
- Relationship Management
- Communication
Skills & topics
- Regulatory Program Management
- Financial Services
- Compliance
- Risk Management
- Internal Controls
- Broker Dealer
- Series 7
- Series 24
- Business Process Improvement
- Program Management
- Analyst
- Senior Analyst
How to get hired
- Customize your resume: Highlight your 5+ years of financial services experience and any relevant FINRA registrations.
- Showcase regulatory expertise: Emphasize your experience in evaluating internal controls and ensuring compliance with standards.
- Demonstrate program management skills: Detail your experience in overseeing cross-functional implementations and analyzing risks.
- Prepare for behavioral questions: Be ready to discuss your problem-solving, influence, and teamwork abilities.
Technical preparation
Familiarize yourself with FINRA Series 7 and 24 material.,Study regulatory compliance frameworks and best practices.,Practice analyzing business processes and controls.,Review common risk mitigation techniques.
Behavioral questions
Describe a time you ensured regulatory compliance.,How do you handle presenting findings to management?,Tell me about a process improvement you implemented.,How do you collaborate with cross-functional teams?
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Frequently asked questions
- What are the key responsibilities for a Senior Analyst, Regulatory Program Management at TIAA?
- As a Senior Analyst, Regulatory Program Management at TIAA, you will evaluate internal controls, ensure adherence to regulatory standards for broker-dealer activities, design and execute tests of regulatory processes, present findings, and oversee program implementations. You'll also review business processes and identify gaps in policies and procedures.
- What qualifications are essential for the Senior Analyst, Regulatory Program Management role at TIAA?
- Essential qualifications include 5+ years of financial services experience and completion of Series 7 and 24 FINRA registrations within 120 days of your start date. A university degree is preferred.
- What makes the Senior Analyst, Regulatory Program Management role at TIAA a good career move?
- This role offers a chance to work with a leading retirement company, TIAA, and contribute to critical regulatory compliance. You'll gain experience in program management, risk analysis, and process improvement within the financial services sector, with opportunities for professional growth.
- How can I tailor my application for the Senior Analyst, Regulatory Program Management position at TIAA?
- To tailor your application, emphasize your experience in financial services, regulatory compliance, and program management. Highlight your problem-solving skills, attention to detail, and ability to communicate findings effectively. Ensure your resume clearly shows how your qualifications align with the 'Required Qualifications' and 'Preferred Qualifications' sections.
- What is the work environment like for a Senior Analyst, Regulatory Program Management at TIAA?
- TIAA emphasizes a collaborative in-office environment where teams work across organizational boundaries. The culture values impact, client focus, integrity, ownership, and teamwork. You'll have opportunities for meaningful learning and development.