Job Description

General Counsel

• Proactive identification and management of legal risk across all lines of business, with particular attention to conflicts of interest and the heightened scrutiny

• Work closely with senior leadership across business, technology, and operations to support growth initiatives and strategic transformations.
• Function as a business enabler — understanding organizational priorities deeply enough to offer forward-looking legal counsel that balances opportunity with prudent risk management, rather than simply identifying obstacles.
• Cultivate and maintain strong relationships with key internal stakeholders and external regulators, including the SEC and FINRA.
• Monitor regulatory developments, assess their business implications, and recommend timely and proportionate responses.
• Engage constructively with regulators, manage examinations and inquiries effectively, and represent the organization's interests credibly and professionally is a core expectation of this role.
• Provide counsel on a range of issues unique to technology-enabled financial services
• Provide direction, mentorship, and oversight to a team of attorneys and legal professionals supporting the wealth management and retail brokerage businesses, fostering a culture of excellence, collaboration, and sound judgment.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 10+ Years Required

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
13PL

The General Counsel, Wealth Management & Advice Solutions will serve as the primary legal authority on all matters arising from the dual registration of TIAA-CREF Individual & Institutional Services, LLC, ensuring that the organization operates in full compliance with applicable SEC, FINRA, and state regulatory requirements.

The role requires proactive identification and management of legal risk across all lines of business, with particular attention to conflicts of interest and the heightened scrutiny that characterizes the current regulatory environment. This includes providing guidance on activities that implicate overlapping regulatory regimes and making sophisticated, well-reasoned determinations about when broker-dealer obligations, investment advisory duties, or both apply to a given business practice.

This is a high-impact, senior leadership role requiring an attorney who is equally adept at navigating complex regulatory frameworks and functioning as a trusted strategic partner to senior business leaders. The successful candidate will bring deep expertise in securities law, a sophisticated understanding of evolving fiduciary and broker-dealer standards, and the business acumen to translate legal requirements into clear, actionable guidance.

Preferred Qualifications:

• Juris Doctor (J.D.) from an accredited law school and active bar membership in good standing

• A minimum of 12 years of legal experience, with substantial focus on securities regulation, broker-dealer compliance, or investment advisory law

• Deep, demonstrated expertise in the regulatory frameworks governing dually registered broker-dealers and investment advisers

• Proven ability to serve as a strategic legal partner to senior business and technology leaders, translating complex legal requirements into practical, business-oriented guidance

• Experience managing or providing legal oversight of technology-driven or digital financial services products

• Excellent written and oral communication skills, including the ability to present complex legal analysis clearly to non-legal audiences

• Demonstrated ability to exercise sound independent judgment and operate effectively in conditions of ambiguity or evolving regulatory guidance

• Experience in a senior legal leadership role at a major financial services firm, wealth management organization, or registered investment adviser

• Familiarity with 529 college savings plan regulations and multi-state program structures

• Prior experience advising on algorithmic or robo-advisory platforms, including associated data privacy and cybersecurity considerations

• Knowledge of state securities laws and multi-state regulatory coordination affecting retail brokerage or investment advisory operations

• Experience engaging directly with SEC or FINRA examination and enforcement staff

• Background in or exposure to trust and estate law as it intersects with wealth management services

• Demonstrated success leading, developing, and retaining high-performing legal teams in a fast-paced, complex environment

Related SkillsAccountability, Adaptability, Communication, Digital Savviness, Influence, Legal Collaboration / Consensus Building, Legal Counsel Expertise / Advisory, Legal Negotiation / Contract Management, Legal Risk Management, Legal Writing, Problem Solving, Relationship Management

Anticipated Posting End Date:

2026-04-05

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

_____________________________________________________________________________________________________

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Our Culture of Impact

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Our full EEO & Non-Discrimination statement is on our careers home page, and you can read more about your rights and view government notices here

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here

For Applicants of TIAA Global Capabilities, click here

For Applicants of Nuveen residing in Europe and APAC, please click here