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All companies + Hiring difference makers. ☰ AVP, Advisor Compliance NewNuveen5 days agoPost DateApply for JobShare this Job
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.
The AVP, Adviser Compliance(AVP, AC) reports to, and works closely with, the CCO. The AVP, AC assists the CCO with the day to day implementation of the investment advisers overall joint compliance program and helps ensure that the program is effective in preventing, detecting and mitigating violations of applicable law or the advisers policies. The AVP, AC is the lead Compliance Officer supporting Charlotte-based fixed income investment activities, including trading. The AVP, AC also contributes to the development of functional strategies for managing compliance risks for Fixed Income and assists with risk assessments, compliance program monitoring, and management reporting.
The role requires broad investment compliance experience (preferably in fixed income) and the ability to provide accurate, concise and timely guidance to business partners in support of Nuveen business goals and adherence to applicable laws and compliance policies. The AVP, AC must also demonstrate leadership on cross-functional teams and have the ability to identify, appropriately escalate, and facilitate the mitigation of compliance exceptions.
KEY RESPONSIBILITIES AND DUTIES:
Reviewing and updating existing policies and procedures to support the advisers compliance program and business initiatives, and implementing new compliance policies and procedures needed or required
Compliance support for Charlotte-based fixed income investment activities, including trading
Ensuring accurate and timely filings of Form ADVs and Form PFs; monitoring and updating filings throughout the year as material changes occur
Monitoring of the compliance program through participation on business and compliance committees and working groups
Coordinating, reviewing and responding to periodic due diligence questionnaires
Responding to questions from the RFP team; updating RFP database responses as necessary
Maintaining and updating the Compliance Rules Matrix disclosure guidelines used by the business providing compliance support for new product initiatives and engaging with cross-functional teams regarding product development
Policy and procedure training for business partners
Delivering annual compliance training to the advisers personnel
Assisting with internal audits, regulatory exams and inquiries
Integrating industry benchmarking and best practices through ongoing research, education and industry affiliations promoting, protecting and setting the tone to reflect Nuveens reputation for ethics, integrity and honesty in all dealings
-B/S or B/A in Business Management, Finance or Accounting
-7+ years of Compliance, Legal, and/or Regulatory experience in financial services
-10+ years of Compliance, Legal, and or Regulatory experience in financial services
-Ability to work closely with, and across, business units and effectively communicate guidance both in written form and through face to face interactions; strong communication, writing and interpersonal skills are essential
-Ability to critically assess complex issues and then conceptualize and articulate appropriate solutions
-Ability to work independently, but within a team environment
-Ability to provide counsel as part of a business or project team
-Experience working in a solutions-driven environment
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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.
Requisition ID: 1721236
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