Nuveen Compliance

  • Competitive
  • Chicago, IL, USA
  • Permanent, Full time
  • Nuveen Investments
  • 08 Nov 17 2017-11-08

Nuveen Compliance


Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website at


Nuveen Investments Advisers' ('NIA') Compliance Team provides world-class service, support, and advice to assist employees and the Firm in meeting their regulatory obligations, as well as their responsibilities to clients, and to preserve and enhance our reputation for integrity while promoting the Firm's growth and development. NIA is seeking an experienced compliance professional to focus on the execution of the investment adviser compliance program for services conducted at the Chicago location.


The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

  • Contribute to the development, implementation and ongoing management of the NIA Compliance program, including drafting compliance policies and procedures, executing applicable monitoring protocols, performing regulatory risk assessments, and maintaining and executing testing plans.
  • Participate in drafting applicable Annual Compliance Reports.
  • Coordinate with various internal business partners in connection with the implementation of new and/or amended regulations, providing guidance on their application and impact across operational and business areas.
  • Design and delivery of Compliance-related training to NIA employees
  • Partner with internal stakeholders to support NIA business objectives and/or Nuveen Compliance strategic objectives.
  • Lead special projects from development to completion under the direction of the CCO.


  • Bachelor's degree required and 5 or more years of applicable experience as a Compliance Officer and/or a securities regulator.
  • Demonstrated financial services knowledge, including products, investment instruments, markets, operational and other processes.
  • Knowledge of regulatory regimes (and associated compliance programs): Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisors Act of 1940 and National Futures Association.
  • Experience with multi-asset class solutions and alternative investments is a plus.
  • Proficiency in Microsoft Office (Excel, Word, PowerPoint, Visio).
  • Advanced problem solving skills and creative thinking.

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