Branch Administration Manager - Chicago, IL

Branch Administration Manager - Chicago, IL

Title: Branch Administration Manager - Chicago, IL
Location: IL-Chicago
Other Locations:
THE COMPANY

TIAA-CREF is a Fortune 100 financial services company that is America's leading retirement system for people who work in the academic, research, medical and cultural fields. The company manages $451 billion in combined assets under management on behalf of 3.6 million people and more than 15,000 institutions. TIAA-CREF is headquartered in New York City, with major operations in Charlotte and Denver, Colorado, and some 65 offices nationwide. The company has a workforce of 7,000 employees.

TIAA-CREF's retirement plans provide participating individuals and institutions with a range of options to help meet their financial needs. They include variable annuities, mutual funds, tax-deferred and after-tax annuities, IRAs and brokerage accounts, and investment advice thatForbesmagazine calls "the most comprehensive workplace advice." Two-thirds of TIAA-CREF's mutual funds and annuity accounts exceeded their Morningstar median over the past three and five years.

POSITION

The Branch Administration Manager (BAM) will perform certain supervisory requirements on behalf of the OSJ/Branch Managers and Business Line Supervisors of all the registered employees within the assigned regional market. This includes all Associated Persons and licensed employees from Institutional Services, Wealth Management, Individual Client Services, Marketing, and any other employee registered though TIAA-CREF Individual & Institutional Services, LLC.

This position will report directly to the Regional Supervision Manager (RSM) for the respective region, as part of the CS, Regulatory Supervision group.




We are hiring in Princeton, NJ, Tampa, FL, Chicago, IL, Seattle, WA, and Lewisville, TX (DFW area).

RESPONSIBILITIES

The Branch Administration Manager will work closely with the Regional Supervision Manager (RSM), OSJ/Branch Managers and the Business Line Supervisors to ensure all delegated supervisory responsibilities have been completed and reported for all registered employees within the assigned Regional Market. Examples are included, but not limited to the following:
* Review and sign off of incoming and outgoing correspondence
* Review and sign off - Complaint Log, Gift and Entertainment Log, Checks and Securities Log and Signature Guarantee Log
* Perform email review via the Orchestria Surveillance system
* Perform Signature Guarantee Stamps
* Review and approve all Outside Business Activities
* Review and sign off of Registered Representative files
* Ensure employees are properly registered and current on continuing education and firm element requirements and interface with Registration and Licensing to resolve issues and tracking. Also provide RegEd training
* Provide orientation training for new Registered Representatives i.e. Fingerprints, U4 filing, RegEd, complete disclosure documents, RR file set up.
* Assist in the monitoring of Registered Representatives that may be on Heightened Supervision
* Hold quarterly compliance meetings;
* Ensure that Form BRs are accurate
* Review and approval of new hire profiles and U5 forms
* Act as conduit between compliance and associates. Provide timely updates and communication to Supervisory Principals and OSJ/Branch Operations Managers regarding compliance and regulatory topics
* Support / review compliance, operations and other corporate communications; disseminate relevant materials to management and associates
* Work closely with Brokerage, Pension and other TIAA-CREF Operations units to assist in NIGO resolution, to include trend analysis and remediation.
* Ensure each Branch location is adhering to the company's segregation of space guidelines.
* Conduct training and review responsibilities for new supervisory principals
* Assist with regional office visits and Non registered locations as needed
* Perform special projects as needed
* Assist OSJ/Branch BOM with compliance audits and reviews conducted by Internal audit
QUALIFICATIONS

· Minimum of 3-5 years of broker dealer/regulatory and corporate business experience
· Strong written and verbal communication skills, including reports and presentations
· Strong organizational, time management, analytical and negotiation skills
· Ability to develop and assess process flows, procedures, processing guidelines
· Ability to navigate and obtain evaluation information simultaneously from various systems
· Ability to execute multiple assignments with minimal oversight
· Ability to effectively communicate with, lead, and motivate employees
· Proficient Microsoft Office skills, including Excel, Word and PowerPoint
· Maintains the highest standards of integrity, respect, and confidentiality
· Series 7 and Series 24 (or obtain within 90 days); Series 65 and Insurance License a plus
· 50% travel within Region

EDUCATION

· Minimum of a Bachelors degree