TIAA Centralized Principal Review (CPR) Team Manager in Charlotte, North Carolina
As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.
When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.
To be difference makers.
For more information about TIAA, visit our website at https://www.tiaa-cref.org/public/about-us/who-we-are-at-tiaa-cref .
The Centralized Principal Review (CPR) Team Manager is responsible for leading a team of Supervisory Principals. The CPR team is charged with conducting comprehensive reviews securities and insurance recommendations made by registered representatives of TIAA-CREF Individual & Institutional Services, LLC, a TIAA-affilitated broker-dealer, according to the regulatory requirements of the SEC, FINRA, ERISA, and state regulations.
KEY RESPONSIBILITIES AND DUTIES:
Manage the team’s supervisory principals to ensure reviews are conducted in accordance with broker-dealer supervisory procedures and regulatory requirements, providing coaching and feedback as necessary
Manage team and individual performance, recommend salary actions and variable compensation awards, creating an environment where accountability, learning, motivating, coaching and developing staff are an integral part of the day-to-day talent management process
Cultivate and retain high-performing and high-potential employees while supporting overarching philosophy of encouraging mobility where appropriate and beneficial to the employee and organization
Collaborate with colleagues and key business partners to identify and resolve shared issues, identify potential risks, anticipate trends that could impact service level agreements, share information and influence outcomes
Active FINRA Series 7 and 24
5 years financial services experience; 2 years in a supervisory capacity
10 years financial services experience, management experience preferred
Thorough knowledge of financial services industry products and regulatory requirements
Creative, flexible, and innovative team player
Strong organizational, problem-solving, and analytical skills
Excellent written and verbal communication skills
Demonstrated ability to make successful presentations to individuals and/or groups at all levels of an organization
Versatility and willingness to work under deadlines and within a constantly changing structure
Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law at http://www1.eeoc.gov/employers/upload/eeocselfprint_poster.pdf .
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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).
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Job: Corporate Services
Primary Location: NC-Charlotte
Req ID: 1715315