Conflicts Officer Jobs

Conflicts Officer
The Conflicts Officer is a management position that leads the TIAA Broker Dealer organization across related supervisory, risk management, operational, and oversight functions focusing on conflicts of interest. This position is responsible to drive organizational accountability, culture change, and operational excellence for all conflicts of interest oversight activities. This position has national impact for all operations and employees operating within the TIAA Broker Dealer across the entire enterprise. This role is not limited to compliance with any one regulatory regime but will encompass SEC, FINRA, DOL, and State conflicts of interest requirements.
Key Responsibilities and Duties

• Leading large transformational projects and programs impacting a broad spectrum of functional specialties such as financial management, policy development, organizational development, quality management and/or performance metrics, and resource and talent management.
• Participate in and represent TC Services in relevant regulatory audits, including external regulators (SEC, FINRA, etc.).
• Leading the development and monitoring of performance metrics that assess program effectiveness, efficiencies, and the implementation of improvement initiatives.
• 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.
• Proactively providing an early warning system of regulatory, supervisory, compliance, and risk management developments that affect the Broker Dealer, risk ranking, and where decisions may be needed.
• Partnering with key in-source support groups to manage the conflicts of interest program across the enterprise to ensure operational excellence on behalf of the President, TIAA Individual & Institutional Services, LLC. Serving as the conduit for transparency to represent the Broker Dealer with these groups and simultaneously provide the line of sight Broker Dealer implications.
• 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.
• Maintaining an understanding of government, industry, and competitor developments related to COI.
• Leading and participating in the implementation of new regulations, including all associated processes: 1) Adapting or creating policies and procedures and internal and external disclosures and other messaging. 2) 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.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 8+ Years Required; 10+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
10PLBase Pay Range: $185,000/yr. - $250,000/yr.