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TIAA Sr. Director, Conflicts of Interest Officer in NEW YORK CITY, New York

COMPANYOVERVIEW:

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.

POSITIONSUMMARY:

The Conflicts of Interest Officeris 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.

KEYRESPONSIBILITIES AND DUTIES:

  • Designing an overall program that identifies,mitigates and reviews conflicts of interest across all of the business lines withinthe TC Services broker/dealer and investment adviser

  • Program elements include, but are not limited topolicies & procedures, training, supervision and monitoring, conflictsinventory management, testing oversight, annual planning, annual compensationtesting/monitoring, reporting, etc.

  • Partner with Regulatory Supervision to provideguidance regarding updates and development work for conflicts relateddashboards

  • Maintaining an understanding of government,industry, and competitor developments related to COI.

  • Liaising with other second line of defense andspecialty areas to address conflicts of interest issues or events as they mayarise

  • Creating / coordinating periodic reporting ofenterprise-wide conflicts of interest and preparing presentations and othermaterials for senior executive and board level audience including preparingmaterials to be presented to regulators

  • Manage and run the Conflicts of Interest WorkingGroup

  • Overseeing the COI program and work directly with‘three lines of defense’ (business, control functions, audit) to monitorcompliance with program (reviewing compensation plans, policies/procedures,materials, etc.)

  • Leading and participating in the implementation ofnew regulations, including all associated processes:

  • Adapting or creating policies and procedures andinternal and external disclosures and other messaging

  • Guiding the development of a plan and materials toprepare of the organization for new regulations, including the development andexecution of employee training, internal and external communications, andexecutive briefings

  • Creating a comprehensive and scalable system ofclient-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 issuesarising in any business enterprise

  • Participating in relevant industry forums tounderstand new developments

  • Participate in and represent TC Services in relevantregulatory audits

MINIMUM QUALIFICATIONS:

  • Active Series 7 and 24

  • 10+ years of broker dealerexperience

  • Experience with FINRA and SEC audits fora 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 successfullylead large transformational projects with enterprise impact

  • Ability to prepare detailedreports, plans, memorandum, letters and formal documents in a structure andformat that relays the required information without bias or ambiguity includingexecutive management and government bodies

  • Experience with FINRA and SEC audits fora 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 writtencommunication

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

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

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.

Additional Information

  • Requisition ID: 1721696

Field: Business Management & Operations

Company: TIAA

Post Date: Sep 11, 2019

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