AVP, Principal Compliance Advisor

This role provides Compliance support to Nuveen Global Client Services, with back to the eMonitoring team.

Key Responsibilities and Duties

• Execute oversight framework for Nuveen Global Client Services activities including (but not limited to):
• Conduct daily monitoring of question/answer pairs for RFPs, DDQs and Consultant Databases as well as periodic monitoring of client reporting communications and adherence to business review and approval processes.
• Coordinate and/or draft requisite disclosures, as applicable. Develop and execute training program in accordance with support model.
• Maintain policies and standard operating procedures.
• Assess compliance impact in relation to technology enhancements in connection with business transformation initiatives.
• Assist the VP, Compliance Officer with oversight of complaints process including intake, escalation, metrics, and regulatory reporting for adherence with policies and standard operating procedures.
• Provide backup support in the execution of the eMonitoring program, including both administration of the technology solutions, as well as assisting the team in fulfilling its monitoring and reporting requirements.
• Stay abreast of regulatory developments that may impact the programs and provide on-going support in the updating of program policies and procedures.

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 proven knowledge and experience with securities laws, regulatory compliance, risk management and/or risk controls.

• Series 7 and Series 24 securities registrations required or must be obtained within 12 months of employment.

Preferred Experience:

• 5+ years of proven knowledge and experience with securities laws, regulatory compliance, risk management and/or risk controls.

• Experience working in the securities industry, working for an investment adviser or broker-dealer, and prior experience supporting client services and CRM systems preferred.

• Demonstrated financial services knowledge, e.g., complex products, market conduct, sales practice, ethics, and recordkeeping.

• Prior experience administering compliance processes and applications preferred.

• Excellent written and verbal communication skills; ability to articulate findings to multiple audiences.

• High level of proficiency in Microsoft Excel and PowerPoint.

• Strong prioritization, quantitative, organizational, and problem-solving skills.

#LI-CS1

Related Skills

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

Anticipated Posting End Date:

2024-10-12

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-b