Smd, General Counsel, Tiaa Wealth & Advice Solutions

TIAA

Securities law expertise
Broker-dealer compliance
Investment advisory law
Serve as the primary legal authority on all matters arising from the dual registration of TIAA-CREF Individual & Institutional Services, LLC, ensuring full compliance with SEC, FINRA, and state regulatory requirements

Job Summary

  • Serve as the primary legal authority on all matters arising from the dual registration of TIAA-CREF Individual & Institutional Services, LLC, ensuring full compliance with SEC, FINRA, and state regulatory requirements.
  • Provide counsel on a range of issues unique to technology-enabled financial services and offer direction, mentorship, and oversight to a team of attorneys and legal professionals.
  • The role requires proactive identification and management of legal risk across all lines of business, with particular attention to conflicts of interest and the heightened scrutiny that characterizes the current regulatory environment.

Matching Summary

Serve as the primary legal authority on all matters arising from the dual registration of TIAA-CREF Individual & Institutional Services, LLC, ensuring full compliance with SEC, FINRA, and state regulatory requirements.

Skills & Requirements

Must-have

  • Securities law expertise
  • Broker-dealer compliance
  • Investment advisory law
  • Regulatory engagement
  • Risk management

Nice-to-have

  • Strategic business partner
  • Technology-enabled financial services
  • Team leadership
  • Adaptability in ambiguity

Key Requirements

  • 10+ Years Required
  • Juris Doctor (J.D.)
  • Active bar membership

Work Rights

Not specified

Tailored Resume

Cover Letter