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TIAA
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COMPANY OVERVIEW:


TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.


POSITION SUMMARY:


The Conflicts of Interest Officer is responsible for overseeing the firm’s Conflicts of Interest (COI) program, working across functions to ensure a robust COI program is in place.  This role is not limited to compliance with any one regulatory regime but will encompass SEC, FINRA, DOL, and State conflicts of interest requirements.

The Conflicts of Interest Officer will report directly to the President and CEO of TC Services and will lead a team of individuals responsible for conflicts related activities.


KEY RESPONSIBILITIES AND DUTIES:
 

  • Designing an overall program that identifies, mitigates and reviews conflicts of interest across all of the business lines within the TC Services broker/dealer and investment adviser
  • Program elements include, but are not limited to policies & procedures, training, supervision and monitoring, conflicts inventory management, testing oversight, annual planning, annual compensation testing/monitoring, reporting, etc.
  • Partner with Regulatory Supervision to provide guidance regarding updates and development work for conflicts related dashboards
  • Maintaining an understanding of government, industry, and competitor developments related to COI.
  • Liaising with other second line of defense and specialty areas to address conflicts of interest issues or events as they may arise
  • Creating / coordinating periodic reporting of enterprise-wide conflicts of interest and preparing presentations and other materials for senior executive and board level audience including preparing materials to be presented to regulators
  • Manage and run the Conflicts of Interest Working Group
  • Overseeing the COI program and work directly with ‘three lines of defense’ (business, control functions, audit) to monitor compliance with program (reviewing compensation plans, policies/procedures, materials, etc.)
  • Leading and participating in the implementation of new regulations, including all associated processes:
    • Adapting or creating policies and procedures and internal and external disclosures and other messaging
    • Guiding the development of a plan and materials to prepare of the organization for new regulations, including the development and execution of employee training, internal and external communications, and executive briefings
  • Creating a comprehensive and scalable system of client-facing disclosures required by overlapping regulatory regimes
  • Participating in business governance councils, including TC Services Board, NPCC, and Risk Committees
  • Acting as the subject matter expert on COI issues arising in any business enterprise
  • Participating in relevant industry forums to understand new developments
  • Participate in and represent TC Services in relevant regulatory audits

 

MINIMUM QUALIFICATIONS:
 
  • Active Series 7 and 24
  • 10+ years of broker dealer experience
  • Experience with FINRA and SEC audits for a Broker Dealer and RIA’s as well as internal and independent audits
  • BA/BS
PREFERRED QUALIFICATIONS:
  • Masters’ Degree in Business for Finance
  • Demonstrated ability to successfully lead large transformational projects with enterprise impact
  • Ability to prepare detailed reports, plans, memorandum, letters and formal documents in a structure and format that relays the required information without bias or ambiguity including executive management and government bodies
  • Experience with FINRA and SEC audits for a Broker Dealer and RIA’s as well as internal and independent audits
  • Strong knowledge of investment products
  • Financial/economic fluency
  • Ability to express ideas, opinions and complex concepts clearly including verbal and written communication










Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

If you need assistance applying due to being visually or hearing impaired, please email Careers Help.

We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

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