TIAA Branch Supervision Palo Alto, Oakland, Spokane, or Phoenix in OAKLAND, California
Branch Supervision Palo Alto, Oakland, Spokane, or Phoenix
Location: United States, California, Oakland
Field: Legal, Compliance, & Risk
Post Date: Jan 17, 2019
TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.
The role performs a variety of delegated first line supervisory functions. Working directly with the OSJ/Branch Office Manager, the role is responsible for conducting investigations based on any findings and taking appropriate corrective action as needed. The role serves as the central resource for supervision and compliance developing relationships, addressing questions and educating the Registered Representatives and Associated Persons within the Regional Market.
KEY RESPONSIBILITIES AND DUTIES:
Provide timely supervision updatesand communication to the OSJ/Branch Office Manager
Conducts risk-based and higherrisk sales activity reviews
Review complaints and FINRAsummaries
Assists in the implementation ofpolicy and procedures to facilitate first line supervision
Monitors and conducts supervisionactivities as needed for individuals on Heightened/Enhanced Supervision
Conducts branchinspection in preparation for compliance or regulatory audits
Supports / reviewscompliance, operations and other corporate communications to disseminaterelevant materials as needed
MaintainsOSJ and Office books and records
Works ondelegated and collaborative projects
Must travel within Regional Market
Otherduties as assigned
Job ideally located in Oakland. Secondary locations include:
FINRA Series 7 and Series 24(9/10 & 23)
Minimum of 3 years of brokerdealer/regulatory and corporate business experience
5+ years of brokerdealer/regulatory and corporate business experience.
Series 65 and Insurance License.
Proficient Microsoft Office skills, includingExcel, Word and PowerPoint
Maintains the highest standards of integrity,respect, and confidentiality
Strongwritten and verbal communication skills, including reports andpresentations.
Strongorganizational, time management, analytical and negotiation skills.
Abilityto identify and address issues, set expectations, coach and takecorrective actions as needed.
Abilityto execute multiple assignments with minimal oversight.
Abilityto effectively communicate with, lead, and motivate.
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We are an Equal Opportunity/Affirmative Action Employer. We will consider allqualified applicants for employment regardless of age, race, color, nationalorigin, sex, religion, veteran status, disability, sexual orientation, genderidentity, or any other legally protected status.
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- Requisition ID: 1714337