General Counsel
TIAA
full-time
Posted on:
Location Type: Hybrid
Location: New York • Washington • United States
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Tech Stack
About the role
- Proactive identification and management of legal risk across all lines of business
- Work closely with senior leadership across business, technology, and operations to support growth initiatives and strategic transformations
- Function as a business enabler — offering forward-looking legal counsel that balances opportunity with prudent risk management
- Cultivate and maintain strong relationships with key internal stakeholders and external regulators
- Monitor regulatory developments, assess their business implications, and recommend timely and proportionate responses
- Provide counsel on a range of issues unique to technology-enabled financial services
- Provide direction, mentorship, and oversight to a team of attorneys and legal professionals supporting the wealth management and retail brokerage businesses
Requirements
- Juris Doctor (J.D.) from an accredited law school and active bar membership in good standing
- A minimum of 12 years of legal experience, with substantial focus on securities regulation, broker-dealer compliance, or investment advisory law
- Deep, demonstrated expertise in the regulatory frameworks governing dually registered broker-dealers and investment advisers
- Proven ability to serve as a strategic legal partner to senior business and technology leaders
- Experience managing or providing legal oversight of technology-driven or digital financial services products
- Excellent written and oral communication skills
- Demonstrated ability to exercise sound independent judgment and operate effectively in conditions of ambiguity or evolving regulatory guidance
- Experience in a senior legal leadership role at a major financial services firm, wealth management organization, or registered investment adviser
- Familiarity with 529 college savings plan regulations and multi-state program structures
- Prior experience advising on algorithmic or robo-advisory platforms, including associated data privacy and cybersecurity considerations
- Knowledge of state securities laws and multi-state regulatory coordination affecting retail brokerage or investment advisory operations
- Experience engaging directly with SEC or FINRA examination and enforcement staff
- Background in or exposure to trust and estate law as it intersects with wealth management services
- Demonstrated success leading, developing, and retaining high-performing legal teams in a fast-paced, complex environment
Benefits
- Comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones
- Superior retirement program
- Highly competitive health, wellness and work life offerings
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Juris Doctor (J.D.)securities regulationbroker-dealer complianceinvestment advisory lawregulatory frameworkslegal oversightdata privacycybersecuritytrust and estate lawalgorithmic platforms
Soft Skills
strategic legal partnerindependent judgmentcommunication skillsrelationship managementmentorshipleadershiprisk managementproblem-solvingteam developmentadaptability
Certifications
active bar membership