AVP, Nuveen Compliance

This position reports to the Head of Americas Distribution, Product, and Global Compliance Programs who is the Chief Compliance Officer of Nuveen Securities, LLC, a registered U.S. broker-dealer, and Nuveen Canada Co., a regulated Canadian distribution entity. The position has responsibilities for administering aspects of the above-referenced entities’ compliance programs, supporting product development and other distribution-related compliance activities. In addition, the position is expected to deliver top-flight compliance service to business partners.

Key Responsibilities And Duties

• Execute assigned monitoring activities and forensic reviews; document results and propose process improvement changes in connection with the remediation, as necessary.
• Administer assigned elements of the cross-border sales program for the Americas.
• Assist with implementation and ongoing management of the compliance process that supports Nuveen’s product governance framework.
• Support aspects of regulatory due diligence in relation to distribution arrangements and licensing and registration activities involving Nuveen Securities and Nuveen Canada Co.
• Draft and maintain assigned policies and standard operating procedures.
• Assist with preparing materials for the Nuveen Securities, LLC Oversight Committee.
• Track regulatory developments, trends and industry best practices impacting applicable compliance programs.
• Assist with document production with respect to testing, audit, and regulatory examinations.
• Contribute to developing, coordinating and implementing departmental and team-specific strategies.
• Cultivate and promote relationships with distribution personnel and develop knowledge of products, operating environment, clients, and trends.
• Other tasks as necessary to provide solid compliance support to an evolving business.
  
  

Educational Requirements

• University (Degree) Preferred
  
  

Work Experience

• 3 Years Required; 5 Years Preferred
  
  

FINRA Registrations

• SRC Indicator: Series 7; Series 24
  
  

Physical Requirements

• Physical Requirements: Sedentary Work
  
  

Career Level

7IC

Required Experience

• 3 years of experience working in the securities industry, regulatory environment, working for an investment adviser or broker-dealer.
• Series 7 and Series 24 securities registrations required or must be obtained within 12 months of employment.
  
  

Preferred Experience

• 5 years of experience working in the securities industry, regulatory environment, working for an investment adviser or broker-dealer.
• Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
• Bachelor's Degree
• Ability to interact with all levels of the organization.
• Excellent verbal, written and interpersonal communication skills.
• Ability to collaborate across business lines to handle conflicts.
• Advanced Microsoft Skills.
• Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
• Ability to work independently and adapt to changing and competing priorities.
  
  

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date

2025-03-01

Base Pay Range: $79,500/yr. - $140,700/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

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Company Overview

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information about the firm please visit our website at www.Nuveen.com

Benefits And Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We 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 protected status.

Read more about the Equal Opportunity Law here.

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If You Are a U.S. Applicant And Desire a Reasonable Accommodation To Complete a Job Application Please Use One Of The Below Options To Contact Our Accessibility Support Team

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

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