Senior Analyst, Regulatory Program Management

TIAA

. Evaluate the reliability and effectiveness of internal controls across the company .

Posted 11/3/2026full-timeUnited StatesSenior💰 $67,700 - $95,100 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in evaluating internal controls and ensuring compliance with regulatory standards in financial services. Proficient in risk management, business process improvement, and effective communication of policies and procedures.

Highest-signal resume keywords

Financial Services ExperienceRegulatory Compliance KnowledgeRisk Management ExpertiseSeries 7 CertificationSeries 24 Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Internal Controls EvaluationRegulatory Process TestingBusiness Process ImprovementRisk AnalysisPolicy Communication

Soft Skills

Proactive AttitudeTeam PlayerFlexibilityProblem-Solving

Certifications & Qualifications

Series 7Series 24

Industry Keywords

Broker-Dealer ActivitiesRegulatory StandardsOperational RiskSupervisory PracticesFinancial Services

About the role

Key responsibilities & impact

Evaluate the reliability and effectiveness of internal controls across the company
Ensure adherence to regulatory standards and proper oversight of broker-dealer activities
Contribute to establishing operating routines and procedures supporting sound supervisory practices
Create and maintain processes ensuring adherence to regulatory requirements
Design and execute testing of regulatory processes and controls
Present findings and recommendations to management and appropriate business partners
Oversee cross-functional implementation of broker-dealer programs
Analyze regulatory risks in operational areas
Review business process, risk, and control documentation through business-as-usual engagement and ongoing partnerships
Evaluate organizational policies and procedures to identify gaps and opportunities
Communicate new or revised policies, procedures, processes, and related documents to team members and business units

Requirements

What you’ll need

3+ years of financial services experience
Series 7 and Series 24 completed within 120 days of start date
5+ years of work experience required
University degree preferred
7+ years of financial services experience preferred
Experience researching and resolving issues preferred
Experience testing and monitoring procedures preferred
Proactive and willing to learn
Flexible and a team player
Knowledge of regulatory requirements, compliance, risk management, business process improvement, and business process understanding
Dallas, Texas or Charlotte, North Carolina work location

Benefits

Comp & perks

Superior retirement program
Competitive health, wellness and work life offerings
Financial well-being resources
Learning experiences and development pathways
Future-focused skills and AI tools
Incentive program linked to performance may be included, depending on the role
Drug-free and smoke-free workplace
Accessibility support and reasonable accommodation for applicants with disabilities