AVP, Compliance Advisor – Distribution Compliance, America

TIAA

. Advise business partners on regulatory requirements and internal policies and procedures .

Posted 10/2/2026full-timeUnited StatesLead💰 $87,800 - $119,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance within the financial services industry, with a focus on broker-dealer operations and compliance program administration. Proficient in conducting regulatory risk assessments, monitoring compliance activities, and supporting audits and examinations.

Highest-signal resume keywords

Regulatory ComplianceBroker-Dealer OperationsRegulatory Risk AssessmentSeries 7 LicenseSeries 24 License

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory RequirementsPolicy DevelopmentForensic ReviewCompliance MonitoringDue DiligenceAnalytical ThinkingAttention to Detail

Soft Skills

Effective Communication

Tools & Technologies

Microsoft ExcelMicrosoft PowerPoint

Certifications & Qualifications

Series 7 LicenseSeries 24 License

Industry Keywords

Financial ServicesCompliance ProgramsAlternatives Asset ClassesRegistered FundsUnregistered Funds

About the role

Key responsibilities & impact

Advise business partners on regulatory requirements and internal policies and procedures
Develop and maintain policies and procedures supporting regulatory compliance
Assist the CCO with regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implement remediation action plans
Execute monitoring activities and forensic reviews, document results, and drive remediation
Administer regulatory due diligence for broker-dealer and Canadian distribution arrangements, including product-related compliance matters
Administer aspects of licensing and registration for the broker-dealer and Canadian entity
Monitor regulatory developments and industry trends affecting compliance programs
Support document production for audits, testing, and regulatory examinations
Execute day-to-day compliance operations and advise the business on regulatory and compliance matters
Support the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity

Requirements

What you’ll need

3 or more years of experience in regulatory compliance within the financial services industry
Experience with a distribution-oriented broker-dealer business model
Familiarity with Alternatives asset classes, including registered and unregistered funds
Series 7 and Series 24 licenses required, or ability to obtain both within 120 days from the date of hire
University degree preferred
5 or more years of experience in regulatory compliance within the financial services industry preferred
Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
Bachelor's degree preferred
High proficiency in Microsoft Excel and PowerPoint
Sedentary work physical requirements

Benefits

Comp & perks

Superior retirement program
Competitive health, wellness, and work-life offerings
Incentive program linked to performance may be available, including annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans
Meaningful learning experiences and development pathways
AI tools and future-focused skills development
Hybrid Flex work arrangement