Managing Director, Senior Risk Officer

TIAA

Senior Risk Officer managing risk and compliance strategies at TIAA Wealth & Advice Solutions. Directing teams and collaborating across the organization to enhance risk management and compliance initiatives.

Posted 5/5/2026full-timeDallas • New York, North Carolina, Texas • 🇺🇸 United StatesSenior💰 $199,000 - $260,000 per yearWebsite

About the role

Key responsibilities & impact

Directs the establishment of short to mid-term risk and compliance strategies
Advises on potential areas of compliance vulnerability and risk
Develops and implements strategies relating to response to alleged violations
Manages performance of teams through regular feedback and the formal review process
Supports the development and execution of enterprise risk management initiatives
Partners with Legal, Compliance, and other corporate functions to provide integrated risk advisory services
Assists in assessing regulatory developments and their implications
Prepares comprehensive presentations for senior management and the Board of Directors

Requirements

What you’ll need

10+ years of experience in risk management
University degree preferred
Series 7 and 24 certifications (must obtain within first six months)
Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and MSRB rules
Experience in a senior risk management or compliance leadership role for a broker-dealer
Master’s degree, JD, or risk management certification preferred
Strong interpersonal skills
Excellent oral and written communication skills

Benefits

Comp & perks

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

risk managementcompliance strategiesregulatory assessmententerprise risk managementperformance managementpresentation preparation

Soft Skills

interpersonal skillsoral communicationwritten communicationteam managementadvisory skills

Certifications

Series 7Series 24risk management certification