CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
All companies + Hiring difference makers. ☰ Sr. Compliance Advisor-Ethics NewNuveen2 days agoPost DateApply for JobShare this JobAbout 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.
About the Group
The Nuveen Ethics Office (EO) provides centralized oversight of all ethics related policies and helps create and foster a culture of ethics throughout the organization. The EO develops and maintains enterprise-wide policies for topics within its purview, and serves to set a baseline standard of employee conduct throughout Nuveen. This is complimented by a strong monitoring and reporting capability. The suite of EO policies includes the Code of Ethics, Business Gifts and Entertainment, Outside Business Activities, and Global Anti-Corruption, and the EO also drives content and administers an appropriate training curriculum.
Summary of Role
The Senior Compliance Advisor of the EO will perform various surveillance activities related to employee personal trading and the disclosure and reporting of broker accounts to ensure compliance with firm policies and procedures in addition to regulatory requirements pursuant to the Codes of Ethics/Personal Trading Policies; assist in the on boarding and designation of access/monitored persons under the Codes of Ethics/Personal Trading Policies; and provide assistance in the coordination and reporting of personal trading metrics in connection with monthly, quarterly and annual reports.
Major responsibilities include:
Responsible for on boarding and designation of employees under the Codes of Ethics/Personal Trading Policies
Responsible for a weekly review of all accounts reported within the personal trading system to determine compliance with corporate reporting deadlines and for the issuance to employees of any associated violations and subsequent remedial actions.
Issue sanctions/educate employees on actual or potential Code violations.
Review and resolve data load errors within the personal trading system pertaining to broker accounts, broker transactions and broker positions on a daily basis.
Prepare 407 Letters in response to employee requests when opening accounts at another financial institution in which securities transactions can be effected and in which the employee has a beneficial interest.
Process Broker Account Waiver Forms for requests by employees to hold an account outside of the Approved Broker List requirement.
Facilitate review and approval of Managed Account Forms and ensure proper set up of such accounts within the personal trading system.
Perform a quarterly reconciliation of approved broker electronic feeds to ensure that all accounts and transactions have been captured for the quarter.
Responsible for preparing monthly corporate metrics and quarterly Nuveen Funds Board metrics in connection with late account reporting violations.
Provide subject matter expertise, guidance, and policy interpretation for ethics matters raised by employees either directly or via channels (e.g. Ethics Helpline, management, Nuveen EO Email or Affiliate CCOs).
Coordinate the annual employee account surveillance review with the third party vendor to ensure that accounts are properly disclosed.
Contribute to the development and enhancement of EO desk procedures.
Assist the EO in its coordination and management of the quarterly personal trading certification process to ensure regulatory compliance.
Assist the EO with special projects.
5+ years of compliance experience within the financial services industry
Experience with Code of Ethics/Personal Trading Policies
Experience in asset management
Knowledgeable in relevant securities laws and practices.
Strong Microsoft Suite knowledge. Proficiency with Excel including ability to perform advanced Vlookups and pivot tables.
Excellent verbal, written and interpersonal communication skills.
Ability to interact with all levels of the organization including the Executive Management Team.
Experience with Information personal trading surveillance systems/tools ideal.
Ability to collaborate across business lines to handle conflicts.
Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
Ability to work independently and adapt to changing and competing priorities.
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.
Requisition ID: 1724605
Previous Job Searches
Create and manage profiles for future opportunities.