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Added 1 min ago
Aircraft Instrumentation and Assembly Technician
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Senior Program Manager, Technology & Ecosystems
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United States
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Manager, Paid Media and Acquisition
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- $151,800 to $273,200 USD / year
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- $70 USD / hour
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Added 6 mins ago
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OR Radiographer, Full-time, Mid-shift
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Chicago, IL
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- Full-time
…the organization’s Code of Ethics and Corporate Compliance Program, and complies with all relevant policies, procedures, guidelines and all other regulatory and accreditation…
Added 7 mins ago
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- $75,000 to $110,000 USD / year
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Added 8 mins ago
Project Manager
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Project Manager
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Added 9 mins ago
Product Marketing Manager, AI Solutions – Higher Education & Research
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Added 10 mins ago
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Product Marketing Manager, Growth (Incubation Portfolio)
Added 14 mins ago
MuleSoft AMS Architect
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Product Marketing Manager - Emerging Portfolio Growth
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Product Marketing Manager, Growth (Incubation Portfolio)
Added 15 mins ago
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IT Project Manager
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Added 19 mins ago
ENTERPRISE PROGRAM MANAGER
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Lutz, FL
The Enterprise Program Manager exists to drive complex, cross-functional initiatives toward their intended business outcomes, coordinating work across any combination of departments where…
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Technical Project/Program Management
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We are looking for an experienced Technical Program Manager / Operational Excellence Program Manager to drive 6S and other strategic initiatives across SPG Operations. This role will lead…
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Change Management Experienced Manager
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Philadelphia, PA · San Francisco, CA · Chicago, IL · NY · Dallas, TX · Houston, TX · Boston, MA
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Added 20 mins ago
Federal Program Manager / Assistant FSO
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Presidio Federal Program Manager / Assistant FSO who will lead and manage our NASA SEWP (Solutions for Enterprise-Wide Procurement) contract and other Federal Ordering Contracts. This role…
Added 20 mins ago
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Manager Inflight Entertainment & Onboard Technology
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Long Island City, NY
- $114,000 to $170,000 USD / year
Position Title: Manager, Inflight Entertainment & Onboard Technology
Added 21 mins ago
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Business Development and Growth Manager
Everwatch
Remote, United States
- $76.92 to $86.53 USD / hour
The Business Development and Growth Manager has primary responsibility for building and qualifying pipeline opportunities and developing and executing capture and proposal efforts, across…
Added 22 mins ago
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Farmers Branch, TX
- $65,400 to $98,100 USD / year
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Added 22 mins ago
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Founding Enterprise Account Manager
True Talent Solutions Partners
Redwood City, CA
- $180,000 to $220,000 USD / year
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TIAA

Manager, Regulatory Program Management

Charlotte, NC, United States

$92,300 to $122,000 USD / year

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Job details

Pay: $92,300 to $122,000 USD / year
Experience: 5+ years of experience
Posting language: English
Posted: Sep 1, 2026

Original job description

Dallas, TX, USA

Charlotte, NC, USA

Full time

R260700243

The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this job ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities. This job is responsible for establishing operating routines and procedures that enable sound supervisory practices.

Key Responsibilities and Duties

Creates and maintains processes that ensure adherence to regulatory requirements.
Designs the evaluation and testing of regulatory processes and controls.
Presents reports of Compliance findings and applicable recommendations to management.
Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Educational Requirements

University (Degree) Preferred

Work Experience

5+ Years Required; 7+ Years Preferred

FINRA Registrations

SRC Indicator: Series 7; Series 24

Physical Requirements

Physical Requirements: Sedentary Work

Career Level

9IC

This role works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls. Ideal candidates would have strong product knowledge, technical skills, and thrive in a collaborative, fast-paced environment.

Additional Information For Posting

Required Experience:

5+ years of experience
FINRA Series 7
FINRA Series 24 (to be obtained within 120 days)

Preferred Experience:

7+ years experience

Related Skills

Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring

Anticipated Posting End Date:

2026-10-19

Base Pay Range: $92,300/yr - $122,000/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).

Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Our Culture of Impact

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways - because when our people succeed, our impact on clients' lives grows stronger.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Our full EEO & Non-Discrimination statement is on our careers home page (https://careers.tiaa.org/) , and you can read more about your rights and view government notices here (https://www.dol.gov/general/topics/posters) .

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

For Applicants of TIAA Global Capabilities, click here (https://www.tiaa.org/public/support/privacy/tiaa-global-capabilities-privacy-notice) .

For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of TIAA Global Capabilities, click here (https://www.tiaa.org/public/support/privacy/tiaa-global-capabilities-privacy-notice) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)

Pay Transparency

Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)

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