Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization. We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them.
By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals. We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success*.
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The Principal Marketing Asset Approver will be a member of the Registered Principal Center of Excellence team tasked with centralizing and streamlining the approval of Marketing materials to meet FINRA regulations as well as internal policies and procedures. These asset approvers will be responsible for being aware of industry and regulatory standards as well as the Marketing strategy to ensure standards are met as content is approved.
KEY RESPONSIBILITIES AND DUTIES:
Reviewing Marketing materials, providing feedback as needed to meet standards.
Provide approval as appropriate using Series 24 registrations.
Providing coaching/feedback to submitters and Marketing Content Owners.
Monitor process controls (late approvals, expired content, reoccurring issues), interpret themes, make recommendations and implement improvements to continue to streamline the content development and review process.
Partner with the Risk and Compliance teams to ensure adherence to regulations and risks appropriately assessed and mitigated for the content review process.
Contribute or manage side projects as requested.
Experience in an oversight or control function such as Compliance, Risk, or line of business role providing oversight to business activities in financial services is required, 5+ years preferred.
Knowledge of FINRA regulations is required.
Product knowledge of mutual funds, variable annuities and insurance products is required.
Required Certification licenses:
Series 7 and 24 are required.
Bachelor’s Degree is preferred.
Knowledge of Marketing Content development is desired.
Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.
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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).
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