AVP, Enterprise Compliance Officer

Nuveen Compliance Officer

This position is responsible for executing Compliance Testing on behalf of Nuveen and any of its US-based subsidiaries. Compliance Testing is performed pursuant to Nuveen Compliance Testing Procedures and in accordance with a Compliance Testing Plan. The Compliance Tester will conduct testing throughout the lifecycle of a review, including planning, fieldwork, and detailed reporting. Track any identified issues through to closure. Work closely with Testing Manager, business partners, and stakeholders throughout the review process.

Key Responsibilities and Duties

• Execute testing in accordance with the Nuveen Compliance Testing Procedures

• Perform all phases of compliance testing activities, including data collection, documenting applicable risks and controls, developing testing scripts, and documenting and tracking issues and observations

• Monitor, track, design and implement corrective action plans to resolve control issues and to ensure that compliance deficiencies are corrected

• Lead meetings with line of business and compliance partners

• Perform tests of design, tests of effectiveness, and compliance assessments to assess compliance controls

• Prepare work papers to support work performed and update test status in Archer

• Work with Line of Business and Compliance stakeholders to track open issues through to closure

• Validate issues submitted for closure

• Draft reports based on test work performed

• Complete all testing timely and in accordance with established procedures

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC

Required Qualifications:

• 3+ years experience in a financial services firm in a Risk or Compliance function; asset management, Compliance Testing, and/or regulatory experience

Preferred Qualifications:

• 5+ years experience in a financial services firm in a Risk or Compliance function; asset management, Compliance Testing, and/or regulatory experience
• Bachelor’s degree
• Knowledge of US-based regulatory requirements, particularly SEC and FINRA regulation
• Experience with general Compliance Testing principles and techniques
• Strong Microsoft Office skills (Word and Excel / pivot tables) and experience with Archer
• High level of motivation and ability to work independently or with team members at all levels
• Must be extremely detail-oriented with an inquisitive nature, and possess sound judgement while operating with utmost integrity
• Strong organizational and problem-solving skills, along with the ability to conduct research utilizing a variety of resources; must be comfortable issue spotting and reporting
• Strong time management, analytical skills, and ability to formulate, develop and execute testing will be critical for success
• Must have strong written and oral communication skills to interact effectively with business partners and colleagues
• Comfortable leading in a high performance, fast paced, high-pressure environment, and have exceptional partnering skills as teamwork and collaboration are highly valued
• Demonstrated ability to prioritize tasks and deliver on commitments

#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:

2025-03-06

Base Pay Range: $86,300/yr. - $144,000/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

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