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

Description:

COMPANY OVERVIEW:

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 .

POSITION SUMMARY:

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

Qualifications:

QUALIFICATIONS:

  • Active FINRA Series 7 and 24

  • 5 years financial services experience; 2 years in a supervisory capacity

PREFERRED QUALIFICATIONS:

  • 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 .

If you need assistance applying due to being visually or hearing impaired, please email Careers Help .

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”).

  • ©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017

C23921

Job: Corporate Services

Primary Location: NC-Charlotte

Req ID: 1715315