Senior Analyst, Regulatory Program Management

TIAA

Senior Analyst role focused on regulatory program management for a financial services firm. Engaging in internal controls evaluation and process adherence to regulatory standards.

Posted 7/2/2026full-timeDallas • North Carolina, Texas • 🇺🇸 United StatesSenior💰 $67,700 - $95,100 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in evaluating internal controls and ensuring compliance with regulatory standards in the financial services sector. Proficient in testing regulatory processes, presenting findings, and implementing broker dealer programs effectively.

Highest-signal resume keywords

Financial Services ExperienceSeries 7 CertificationSeries 24 CertificationTesting and Monitoring ProceduresCross-Functional Implementation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Internal Controls EvaluationRegulatory Standards AdherenceProcess TestingDocumentation ReviewPolicy Evaluation

Soft Skills

Proactive AttitudeTeam PlayerFlexibilityIssue Resolution

Certifications & Qualifications

Series 7Series 24

Industry Keywords

Broker Dealer ProgramsFinancial ServicesRegulatory ComplianceRisk ManagementBusiness Process Documentation

About the role

Key responsibilities & impact

Evaluates the reliability and effectiveness of internal controls across the company
Ensures adherence to regulatory standards
Designs and executes the testing of regulatory processes and controls
Presents findings and recommendations to management
Oversees cross-functional implementation of broker dealer programs
Reviews documentation of business processes, risks and controls
Evaluates policies and procedures to identify gaps and opportunities
Communicates new or revised policies to appropriate team members

Requirements

What you’ll need

5+ years of financial services experience
Series 7 and 24 completed within 120 days of start date
7+ years of financial services experience preferred
Tenured experience researching and resolving issues
Prior experience testing and monitoring procedures
Proactive and willing to learn
Flexible, a team player

Benefits

Comp & perks

superior retirement program
highly competitive health, wellness and work life offerings