Job Information
Nuveen Investments AVP, Principal Compliance Advisor in Frisco, Texas
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:
2024-09-28
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).
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 (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .
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 (https://www.dol.gov/general/topics/posters) .
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.
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
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
Nondiscrimination & Equal Opportunity Employment
TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.
EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)
Pay Transparency
Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)