Smd, General Counsel, Tiaa Wealth & Advice Solutions

Nuveen, a TIAA company

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 applicable 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 applicable SEC, FINRA, and state regulatory requirements.
  • Provide direction, mentorship, and oversight to a team of attorneys and legal professionals supporting wealth management and retail brokerage businesses, fostering a culture of excellence, collaboration, and sound judgment.
  • The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates, offering a comprehensive Total Rewards package.

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 applicable SEC, FINRA, and state regulatory requirements.

Skills & Requirements

Must-have

  • Securities law expertise
  • Broker-dealer compliance
  • Investment advisory law
  • Regulatory engagement
  • Legal risk management
  • Technology-enabled financial services

Nice-to-have

  • Strategic business partner
  • Forward-looking legal counsel
  • Collaborative in-office environment
  • Adaptability in ambiguity
  • Developing high-performing teams

Key Requirements

  • 10+ Years Required Work Experience
  • Juris Doctor (J.D.) degree
  • Active bar membership
  • 12+ years legal experience preferred

Work Rights

Not specified

Tailored Resume

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