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© All Rights Reserved. ApplyBlast.com
TIAA
The Regional Supervisory Principal supervises registered representatives and associated persons at an RIA or broker-dealer while identifying and mitigating regulatory risks. This senior role drives adherence to compliance guidelines, industry rules, and firm policies through active supervision and training initiatives. Responsibilities include conducting internal reviews for audits, engaging business partners to resolve issues, and promoting the adoption of control measures.
Headquarters
New York, New York, United States
Company Size
10001+ employees
Founded
1918
At TIAA, we believe everyone deserves a secure retirement. Explore our annuities, retirement plans, financial planning, investing & wealth management solutions.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
View leadership team, funding history,
and employee contacts for TIAA.
49% below the average for this role
The best annuity companies of 2026
3 weeks ago
Director of Brokerage / RIA Operations and Controls
Associated Bank, NA
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