Tara Davis
- Role
- Regional Supervisory Principal at TIAA
- Location
- Dallas-Fort Worth, TX, US
- LinkedIn followers
- 500 followers
About Tara Davis
FINRA Series 7, 63, 66, 24, 52, 53, Texas Life & Health Initiative-taking…
Experience
Regional Supervisory Principal
Jul 2019 — Present
Regulatory oversight of branch personnel and processes to ensure adherence to company policy, compliance guidelines and industry rules and regulations Continuous monitoring and education related to registration, licensing, and continuing education for registered representatives Drives satisfactory compliance audits by conducting regular virtual and onsite branch office visits to ensure compliance Accountable to proactively resolve regulatory escalations and effectively communicate and collaborate cross-functionally with businesses partners inclusive of office managers, directors, and registered representatives. Review of sales activity embracing a strong knowledge of products, sales processes, and oversight Supervisory and compliance reporting of branch audits and risk assessment items RSG Offsite Coordinator – coordinated a productive offsite for the Regulatory Supervision Group including contract review/execution and business partner/leader coordination Successful project management collaborating with various business partners and leaders to ensure completion within stated deadlines
Skills
- Fixed Income
- Relationship Management
- Retirement
- Pershing
- Financial Services
- Morningstar
- Financial Risk
- Financial Analysis
- Series 7
- Asset Management
- Series 24
- Securities
- Management
- Finance
- Retirement Planning
- Series 63
- Series 52
- Mutual Funds
- Strategic Financial Planning
- E-Money
- Wealth Management
- Netx360
- Investments
- Equities
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