All companies + Hiring difference makers. ☰ Branch Supervision Administrator NewTIAA3 days agoPost DateApply for JobShare this JobCOMPANY OVERVIEW:
TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.
The Branch Supervision Administrator performs a variety of delegated first line supervisory functions. Working directly with the OSJ/Branch Office Manager, the BSA 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 updates and communication to the OSJ/Branch Office Manager.
Conduct risk-based and higher risk sales activity reviews utilizing a strong knowledge of products, sales processes and oversight.
Provide external and internal inspection, audit and regulatory exam support.
Review complaints and FINRA summaries.
Assist in the implementation of policy and procedures to facilitate first line supervision.
Monitor and conduct supervision activities as needed for individuals on Heightened/Enhanced Supervision.
Conduct branch inspections in preparation for compliance or regulatory audits.
Support/review compliance, operations and other corporate communications to disseminate relevant materials as needed.
Conduct compliance meetings.
Maintain OSJ and Branch Office books and records.
Work on delegated and collaborative projects.
Must be able to travel within Regional Market.
Other duties as assigned.
Requisition ID: 1721599
Active FINRA Series 7 and Series 24 or (9 /10 & 23)
3+ years of broker dealer/regulatory and corporate business experience
5+ years of broker dealer/regulatory and corporate business experience
Series 65/66 and Insurance License
Proficient Microsoft Office skills, including Excel, Word and PowerPoint
Maintain the highest standards of integrity, respect, and confidentiality
Strong written and verbal communication skills, including reports and presentations
Strong organizational, time management, analytical and negotiation skills
Ability to identify and address issues, set expectations, coach and take corrective actions as needed
Ability to work independently, under minimal oversight
Ability to effectively communicate with, lead, and motivate
Equal Employment Opportunity is not just the law, its our commitment. Read more about the .If you need assistance applying due to being visually or hearing impaired, please email .We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status. Previous Job Searches
Create and manage profiles for future opportunities.