Jon Pearn is a seasoned financial services professional currently serving as the Director of Regulatory Supervision for the West-Central Region at TIAA. In this pivotal role, he leads a dedicated team of five Regional Supervisory Principals (RSPs) and one Registration and Licensing Coordinator (RLC), ensuring...
Jon Pearn is a seasoned financial services professional currently serving as the Director of Regulatory Supervision for the West-Central Region at TIAA. In this pivotal role, he leads a dedicated team of five Regional Supervisory Principals (RSPs) and one Registration and Licensing Coordinator (RLC), ensuring comprehensive oversight of both registered and non-registered personnel within the region's Office of Supervisory Jurisdiction (OSJ) complexes, which include major hubs in Houston, TX, Palo Alto, CA, and Denver, CO. Jon’s expertise lies in navigating the complex landscape of regulatory compliance, where he leverages his deep understanding of the Securities Exchange Act of 1934 and FINRA rules and regulations to foster a culture of compliance and risk management.
Under Jon's leadership, TIAA has undertaken key projects aimed at enhancing regulatory frameworks and implementing innovative strategies that align with industry best practices. His collaborative problem-solving skills have been instrumental in driving team motivation and securing group consensus on critical compliance initiatives. Jon is particularly adept at project management and prioritization, allowing him to effectively address the multifaceted challenges that arise in regulatory supervision. His commitment to anti-money laundering protocols and risk mitigation strategies not only safeguards the organization but also reinforces TIAA's reputation as a trusted financial institution.
With a focus on continuous improvement, Jon Pearn is dedicated to empowering his team and fostering an environment where compliance is viewed as a shared responsibility. His strategic vision and hands-on approach ensure that TIAA remains at the forefront of regulatory excellence in the financial services industry.
