Vice President, Broker Dealer and Middle Office Operations

TIAA

Vice President overseeing broker dealer operations including securities management and trade settlement for Nuveen's Separately Managed Accounts. Leading a team to ensure regulatory compliance and operational efficiency.

Posted 4/24/2026full-timeChicago • Illinois, Minnesota, New York, North Carolina • 🇺🇸 United StatesLead💰 $110,000 - $145,000 per yearWebsite

About the role

Key responsibilities & impact

Oversee daily clearing and settlement of municipal bond trades through the Nuveen Securities broker-dealer
Supervise DVP settlement of preferred stocks and taxable fixed income securities
Serve as primary contact for regulators and auditors
Lead resolution of routine and complex trade errors
Leverage industry experience to navigate the complex landscape of Wirehouses, IBDs, TAMPs and RIAs
Build and mentor a skilled team capable of critical thinking through complex situations
Lead operational implementation for new platform launches

Requirements

What you’ll need

5+ years of relevant experience in broker-dealer operations with management responsibility
5+ years direct experience in the retail SMA industry
Demonstrated expertise with financial markets and separately managed accounts
Proven experience with municipal bonds, preferred stock, and taxable fixed income securities
Direct experience managing clearing operations, DTCC platforms (CTM, RTTM), custodian relationships and Prime Broker coordination
Strong understanding of financial regulations and operational risk frameworks
Series 52,53 and 99 securities licenses (or ability to obtain within specified timeframe)
Experience with broker-dealer platforms (Broadridge BPS preferred)
Demonstrated success leading teams through high-volume periods and system implementations
History of maintaining zero-defect regulatory audit results
Proven ability to mentor and develop successor talent
Established industry relationships among major custodians and dealers

Benefits

Comp & perks

comprehensive Total Rewards package
superior retirement program
highly competitive health, wellness and work-life offerings

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

broker-dealer operationsclearing operationsmunicipal bondspreferred stocktaxable fixed income securitiesfinancial marketsseparately managed accountsoperational risk frameworksDTCC platformssystem implementations

Soft Skills

leadershipmentoringcritical thinkingteam buildingproblem resolutioncommunicationrelationship managementoperational oversightstrategic navigationauditing

Certifications

Series 52Series 53Series 99