Kevin Spence, CSCP, IAACP

Kevin Spence is the Senior Director of Compliance at TIAA, where he leads a team in the Individual & Wealth Compliance area. His team is responsible for overseeing essential functions of TIAA's broker-dealer, TIAA Individual & Institutional Services, LLC, including Policy Management, Regulatory Reporting, and Training & Operations. Kevin represents TIAA on the FINRA Complaints Initiative Committee and the FINRA Self-Directed Broker-Dealer Working Group, and he also serves as an appointed council member for the Continuing Education Council.

A solutions-oriented financial services executive with over 20 years of regulatory compliance experience, Kevin is a published author and industry speaker. He is recognized as a prominent Compliance expert and frequently presents at industry conferences on emerging topics in Compliance and Risk. Kevin's articles have been featured in the Journal of Financial Compliance, and he holds multiple securities registrations as well as membership in the District of Columbia Bar Association.

Prior to joining TIAA in 2020, Kevin served as the Chief Compliance Officer & Regulatory Counsel for Cary Street Partners, a regional broker dealer, investment and asset manager with offices located throughout the Mid-Atlantic and western states. Prior hereto, Kevin spent many years serving in various Compliance leadership roles at large broker dealers and investment advisors such as HSBC and Wells Fargo Advisors.

Kevin holds a BS degree from Virginia Commonwealth University and a JD degree from Saint Louis University School of Law. He holds the FINRA Series 7, 9, 10, 14, 24, and 53 registrations and is a certified FINRA Arbitrator. Kevin holds the Certified Securities Compliance Professional (CSCP®) and the Investment Adviser Certified Compliance Professional (IACCP®) designations.