Principal Compliance Advisor Principal Compliance Advisor …

in Chicago, IL, United States
Permanent, Full time
Last application, 02 Sep 20
in Chicago, IL, United States
Permanent, Full time
Last application, 02 Sep 20
Principal Compliance Advisor
All companies + Hiring difference makers. ☰ AVP, Principal Compliance Advisor 💼 Nuveen 📅 Feb 07, 2020 Post Date Apply for Job Share this Job About the Company

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.

Summary of Role

We are hiring difference makers! The AVP position supports the Nuveen Cross-Asset Class / Solutions Compliance Team (the Team), and Nuveens investment affiliates (Affiliate Compliance) more broadly. This position can be located in Charlotte, Jacksonville or Chicago. The Cross-Asset Compliance responsibilities pertains to the integration of the three largest of Nuveen investment advisers, Nuveen Asset Management, TAL, and TCIM.


Provide day-to-day support to the Team, including but not limited to:

  • Working with the Team to ensure that Solutions Compliance program incorporates all required key Compliance program elements.
  • Assist in developing and maintaining written Compliance policies and procedures, both for Solutions Compliance and Cross-Asset Class Compliance, and establishing process for a documented regular review of such policies.
  • Assist in reviewing, completing and maintaining the Annual Compliance Risk Assessment for Solutions and Cross-Asset.
  • Support the Compliance Filings process (Form PF, Form ADV, CFTC registration and exemptions)
  • Support, track and monitor Affiliate Compliance deliverables, including quarterly metrics, and directly support the CCOs of the Affiliates
  • Support the RFP/DDQ process for cross-asset class (NFAL, NAM, TAL/TCIM) and also general support for the RFP/DDQ process for Affiliate Compliance
  • Liaise with the Nuveen Compliance Ethics Office pertaining to cross-asset class and Solutions employee conduct matters and ensuring the timely resolution of such matters.
  • Provide compliance specific training to employees of Solutions, NAM and TAL/TCIM.
  • Provide ongoing hands-on support with respect to ad-hoc compliance projects, as needed.
  • Support the ongoing regulatory change management program, including review of regulatory developments and/or material regulatory changes in applicable law and regulations through the RCM tool as well as Nuveen Compliance regulatory tracking
Qualifications: Required:
  • Bachelors degree or 9+ years of experience in legal and/or compliance
  • 5+ years of experience in  legal and/or compliance
  • 1+ years of experience with the Investment Advisers Act of 1940
  • 5 years of related Compliance experience with strong knowledge of the Investment Advisers Act of 1940
  • Strong ownership mentality with exceptional resourcefulness and drive for results. 
  • Must be extremely organized and detail-oriented.
  • Good communication skills; ability to make oneself understood.
  • Ability to effectively prioritize work and manage multiple projects simultaneously.
  • Extremely strong work ethic, time management skills and the ability to work independently to produce deliverables on tight deadlines.

Equal Employment Opportunity is not just the law, its our commitment. Read more about the .

If you need assistance applying due to visually or hearing impaired, please email .

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

Additional Information
  • Requisition ID: 1724405
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