Supervisory Principal (IL)
Supervisory Principal (IL)
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
This role is part of a centralized group of supervising principals responsible for ensuring representative activities align to firm and regulatory expectations.
Key Responsibilities and Duties
- Review and accept on behalf of the firm recommendations made to clients and / or review written correspondence and electronic communications to / from associated persons of the brokerdealer.
- Proactively engage business partners across the organization to resolve or escalate issues.
- Develop and maintain strong working relationships within the team and the business line stakeholders.
- University (Degree) Preferred
- 3 Years Required; 5 Years Preferred
- SRC Indicator: Series 7; Series 24
- Life and Health Insurance License (Resident State) Multiple Issuers required
- Physical Requirements: Sedentary Work
Career Level
7IC
Related SkillsBusiness Acumen Business Process Improvement Business Process Understanding Communication Compliance Continuous Improvement Mindset DetailOriented General Risk Management Influence Relationship Management Risk Mitigation Risk Monitoring
Anticipated Posting End Date:
Base Pay Range: $61000/yr $89200/yrActual 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 nonannual sales incentive plans or other nonannual incentive plans).
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 were a marketleading retirement company fueled by worldclass asset management. But were not just another legacy financial services firm. Were fighting harder than ever before for our clients and the many Americans who need us.
Benefits and Total Rewards
The organization is committed to making financial wellbeing possible for its clients and is equally committed to the wellbeing of our associates. Thats 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 wellbeing. 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.
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)
Privacy Notices
For Applicants of TIAA Nuveen and Affiliates residing in US (other than California) click here.
For Applicants of TIAA Nuveen and Affiliates residing in California please click here.
ForApplicants of TIAA Global Capabilities click here.
For Applicants of Nuveen residing in Europe and APAC please click here.
Required Experience:
Manager
Employment Type
Full-Time
