Edward Snow

Background

About Edward Snow

I am a Motivated Series 24 Principal with a broad understanding of the Securities / Financial Industry, FINRA Rules and Regulations. I have over 25 years of Industry Experience, touching on all sides of the business; Retail Brokerage, Branch Network Sales, Middle / Back Office Operations / Supervision, Branch Operations Management, Regional Supervision of multiple Complex Markets. My career path and first-hand experience gives me the unique ability to work through any challenge with a fair and balanced approach. I enjoy mentoring new Supervisory Principals / Registered Representatives and sharing education and experience with those I support. I have a passion for leading and helping others embrace a Culture of Compliance. I enjoy driving Continuous Improvement in an Inclusive work environment. I am partnered with TIAA as the Sr. Regional Supervisory Principal within the Regulatory and Supervisory Oversight department. I am delegated Supervisory Oversight for all business lines within the Northeast Central Region (Wealth Management & Institutional). This includes maintaining the books and records for multiple registered branch locations. I address all Compliance / Internal Audit requests and support any FINRA or State Regulatory inquiries. I conduct remote virtual Branch Inspections, In-Person Branch Inspections as well as multiple Supervisory functions for our 13 offices (OSJ and NON-OSJ locations).