TIAA Centralized Principal Review (CPR) Team Manager in Denver, Colorado



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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.


  • 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

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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