TIAA

AVP, Compliance Advisor (Distribution Compliance (America))

TIAA • $87K — $119K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 3+ years of regulatory compliance experience in financial services
  • Experience with distribution-oriented broker-dealer business models
  • Familiarity with Alternatives asset classes, including registered and unregistered funds
  • Series 7 and Series 24 licenses required or ability to obtain within 120 days
  • Bachelor's degree preferred

Responsibilities

  • Advise business partners on regulatory requirements and internal policies
  • Develop and maintain compliance policies and procedures
  • Assist CCO with regulatory risk assessments and action plans
  • Execute monitoring activities and forensic reviews
  • Administer regulatory due diligence for broker-dealer and Canadian distribution
  • Manage licensing and registration for broker-dealer and Canadian entity
  • Monitor regulatory developments and industry trends
  • Support document production for audits and regulatory examinations

Benefits

  • Comprehensive health and wellness programs
  • Professional development opportunities
  • Flexible work arrangements
  • Supportive team environment
  • Access to industry-leading resources and tools
Full Job Description
AVP, Compliance Advisor (Distribution Compliance (Americas)
The AVP, Distribution Compliance supports the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity. This role executes day-to-day compliance operations and advises the business on regulatory and compliance matters. Working knowledge of a wholesale broker-dealer distribution model is a plus but not required.

Key Responsibilities and Duties
  • Advise business partners on regulatory requirements and internal policies and procedures
  • Develop and maintain policies and procedures supporting regulatory compliance
  • Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
  • Execute monitoring activities and forensic reviews, document results, and drive remediation
  • Administer regulatory due diligence for broker-dealer and Canadian distribution arrangements, including product-related compliance matters
  • Administer aspects of licensing and registration for the broker-dealer and Canadian entity
  • Monitor regulatory developments and industry trends affecting the compliance programs
  • Support document production for audits, testing, and regulatory examinations


Educational Requirements
  • University (Degree) Preferred

Work Experience
  • 3+ Years Required; 5+ Years Preferred

FINRA Registrations
  • SRC Indicator: Series 7; Series 24

Physical Requirements
  • Physical Requirements: Sedentary Work


Career Level
7IC

Required Skills

  • 3 or more years of experience in regulatory compliance within financial services industry
  • Experience with a distribution-oriented broker-dealer business model
  • Familiarity with Alternatives asset classes, including registered and unregistered funds
  • Series 7 and Series 24 licenses required, or ability to obtain both within 120 days from the date of hire.


Preferred Skills

  • 5 or more years of experience in a regulatory compliance within financial services industry
  • Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
  • Bachelor's degree
  • High proficiency in Microsoft Excel and PowerPoint


Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:
2026-10-07

Base Pay Range: $87,800/yr - $119,000/yr

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

About TIAA

TIAA is a financial services company that specializes in providing retirement plans, IRAs, mutual funds, and life insurance. The company is dedicated to helping those who teach, heal, and serve to achieve financial well-being. TIAA was founded in 1918 and headquartered in New York, United States.

TIAA Careers

Joining TIAA presents an unparalleled opportunity to become part of a team that prides itself on fostering a culture of growth, innovation, and leadership in the financial services industry. As a company deeply committed to the professional development and well-being of its employees, TIAA is where your career aspirations can take flight.

Work You’ll Do

At TIAA, we are dedicated to providing our employees with meaningful job opportunities that offer both challenges and rewards. We believe in nurturing the skills and talents of our team members through diverse career paths, leadership development programs, and continuous learning opportunities.

Explore Our Team

Become a part of a workforce that is as diverse as the clients we serve. At TIAA, we understand that unique perspectives lead to innovative ideas and better decision-making. Our inclusive culture supports diversity training, ensuring all team members can thrive.

Innovate with Us

TIAA is at the forefront of financial innovation. We encourage our employees to lead the way in developing new strategies and solutions that continue to redefine the industry. Our collaborative environment supports your ideas and fosters creativity at every level.

Grow Your Career

Whether you are looking for your first internship or a seasoned professional position, TIAA offers a range of employment opportunities to help you realize your potential. Take advantage of our comprehensive benefits package, competitive salaries, and programs designed to support your career growth.

Networking and Professional Development

Networking at TIAA goes beyond connecting with colleagues; it involves engaging with industry leaders and participating in high-impact mentoring programs. Our commitment to professional growth is evident through our robust training and development courses tailored to enhance your career journey.

Join Our Hiring Process

Embark on your career with TIAA through a straightforward hiring process. Start by exploring open positions that match your skills and interests on our Jobs page. Submit your resume, prepare for your interview, and let your journey of professional fulfillment begin.

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TIAA: Empowering Professional Futures

At TIAA, we are not just offering jobs; we are building futures. We invite you to join our team and experience a career where your growth is our priority, and your potential is limitless.

Search TIAA Jobs

Discover the opportunities waiting for you at TIAA. Search for open positions that align with your career goals and apply today. Let’s innovate, lead, and grow together. [SEARCH TIAA JOBS] [READ CAREERS BLOG]
Learn more about TIAA
Size
17,000 employees
Industry

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