Legal - Associate General Counsel, Global Client Group, VP - Based in Hong Kong or Singapore

Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives.  Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future.  For more information about the firm please visit our website at www.nuveen.com 

About the Position

This position will be based in Hong Kong S.A.R. / Singapore, dedicated primarily to handling APAC and cross-border legal matters related to our asset management business.  The Legal Counsel will play a pivotal role in the development of Nuveen’s rapidly growing international business in APAC (including the Middle East), providing legal support and guidance for both our APAC -based asset management affiliates and our non-APAC-based entities seeking to access APAC and Middle East markets. As part of Nuveen’s international legal team, you will work hand-in-hand with a diverse and vibrant group of lawyers and business leaders both in APAC, Europe and the US, contributing to transformational projects shaping the future of the firm. 

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Major Responsibilities: 

• Provide legal guidance and support for various Nuveen offices and related branches/subsidiaries in APAC, with an emphasis on the distribution of investment funds and services.

• Provide legal advice and support with respect to the structuring and governance of various traditional and alternative fund vehicles. 

• Liaise with sales and marketing teams to provide guidance on permitted activities in various APAC jurisdictions.

• Assist with the drafting and negotiation of various contracts, including dealer/intermediary agreements, fee letters, transfer pricing agreements and investment management agreements.

• Provide legal support for the establishment of relationships with financial services partners, intermediaries and other service providers in the region.

• Assist and advise compliance and finance teams with respect to various regulatory obligations.

• Assist with both the establishment of new offices and the expansion of existing offices, including application for necessary licenses, permits and approvals to conduct new or additional regulated activities.

• Monitor proposed laws and regulations effecting Nuveen’s business in APAC markets, and formulate and provide appropriate legal guidance to internal team members and business partners.

• Manage external legal counsel and service providers in order to leverage local insights and capabilities to help grow Nuveen’s business in APAC.  

• Actively engage with both local regulators (including the SFC, MAS and JFSA), and APAC-based asset management industry groups.

Required Skills:

• 3-5 years’ experience with a major law firm and/or an in-house legal department, with a focus on one or more of the following disciplines is required: investment management; financial product sales and distribution; fund formation; general corporate/regulatory.

• Law degree from an accredited law school and member in good standing of the bar.

• Holding a current practicing certificate from The Law Society of Hong Kong (i.e. Hong Kong qualified solicitor) / The Law Society of Singapore (i.e. Singapore qualified solicitor).

• Fluency in various domestic legislation and regulations in APAC pertaining to running an asset management business, including the Securities and Futures Ordinance (Hong Kong), and the Securities and Futures Act (Singapore), as well as general experience, and familiarity with the legal landscape in APAC applicable to fund management. 

• Specific familiarity legal regimes in Japan, China, and Australia would be a plus. 

• Knowledge of investment fund structuring and sales channels, including cross-border distribution of fund products and management / advisory services.

• Strong verbal and written communication skills, interpersonal skills and organizational skills.

• Ability to work both collaboratively as part of a team and independently as needed.

• Comfortable working in a global business environment dealing with multiple cultures, time zones and legal systems.

• Demonstrated strategic and analytical mind-set, as well as a proactive, results-driven work ethic.

• Advanced cognitive flexibility and prioritization skills.

• A sense of humour.

• Must be able to travel (someday!)

This role does not require any regulatory designation.

Nuveen is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

Nuveen 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. Please contact [email protected] should you require any assistance.

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Company Overview

Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, listed equities and alternatives.  Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future.  For more information about the firm please visit our website at www.nuveen.com

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 residents of California, please click here to access the TIAA CA Applicant Privacy Notice.

For residents of the EU / UK, please click here to access the EU / UK Pre-employment Notice.

For all other residents, click here to access the Applicant Privacy Notice.