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Business Management & Operations
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TIAA
Thanks for your interest in the Sr. Director, Conflicts of Interest Officer position. Unfortunately this position has been closed but you can search our 268 open jobs by clicking here.
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










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