AVP, Strategy Reporting & Global Programs

Compliance Sr Associate

The Nuveen Global Compliance Programs, Strategy and Reporting is a center of excellence responsible for Privacy, SEC Red Flags/ID Theft and Volcker Compliance Programs relative to Nuveen's regulated investment adviser and distribution entities on a global basis. In addition, this role is responsible for executing certain responsibilities related to strategy and reporting activities for the department, and reports to the VP, Nuveen Global Compliance Programs, Strategy and Reporting.

Key Responsibilities and Duties

1) Execute daily management of supported Compliance programs (i.e. Privacy, SEC Red Flags/ID Theft and Volcker), including but not limited to:

• Maintaining and implementing Compliance policies/procedures and desk procedures;
• Conducting ongoing compliance monitoring activities in coordination with other Compliance and Operational assessment functions, as needed; and
• Contributing to the execution of compliance risk assessments, audits and testing.

2) Administer process for evaluating and acting on internal and external privacy-related inquiries, including coordinating breach assessments and notification processes pursuant to applicable regulatory requirements, as well as, promoting activities to foster privacy awareness across the organization

3) Serve as point person for day-to-day Volcker and Red Flags/ID Theft Compliance Program inquiries.

4) Keep abreast of new rules and regulations of supported areas, and assist with driving change to achieve compliance, as needed.

5) Maintain tracking of internal audits, regulatory examinations/inquiries and testing results across Nuveen Compliance Programs.

6)Participate in the preparation of department metrics and other reporting for various Committees and governance forums across the organization.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 6 or 7; Series 63; Series 26 or 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

7IC

Qualifications:

Required:

• 3 years required in financial services; with exposure to Privacy regulations and/or the Volcker rule is a plus.

Preferred:

• 5 years required in financial services; with exposure to Privacy regulations and/or the Volcker rule is a plus.
• Bachelor's Degree
• Experience in reviewing laws, rules, regulations and regulatory guidance from federal, state-level agencies and non-US regulators.
• 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.

Base Pay Range: $91,800/yr. - $153,000/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.

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.

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: [email protected]

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.

For Applicants of Nuveen residing in Europe and APAC, please click here.

For Applicants of Greenwood residing in Brazil (English), click here.

For Applicants of Greenwood residing in Brazil (Portuguese), click here.

For Applicants of Westchester residing in Brazil (English), click here.

For Applicants of Westchester residing in Brazil (Portuguese), click here.