Compliance Sr. Associate

Description

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 atwww.Nuveen.com

Compliance Sr Associate
The Compliance Senior Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. This job focuses the processes to identify, investigate, analyze, report, and resolve compliance risks. This job also is responsible for reviewing and updating applicable policy and procedure revisions.

Key Responsibilities and Duties

• Performs compliance risk assessments to identify compliance issues, concerns, and deficiencies.
• Designs and implements corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
• Implements preventative measures and compliance processes, while identifying opportunities to revise policies and procedures to improve the general operation of business unit compliance programs.

Qualifications

• 3 Years Required; 5 Years Preferred

• University (Degree), Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Preferred Education

• University (Degree)

Career Level
7IC

Reporting to the MD, Global Head of Fixed Income Compliance and Chief Compliance Officer (CCO) for Nuveen Asset Management, this Assistant Vice President position plays a key role in the implementation and ongoing execution of the compliance program for taxable fixed income, with emphasis on client trading activities. The position will be based in Charlotte, NC and co-located with taxable fixed income trading desk.

• Assist the CCO with the day to day implementation of the investment advisers' overall compliance program for taxable fixed income advisory and trading oversight, monitoring and reporting.
• Minimum of 3 years of Compliance experience directly supporting an SEC registered investment adviser with exposure to fixed income instruments and products.
  
• Functional ownership of, and shared accountability for:
  
  • Supporting trading oversight and reporting program, including the development /modification of exception report modules; daily review client trading activity and engaging with trading personnel to resolve any noted exceptions
  • Supporting the maintenance of the Compliance Monitoring Plan and Compliance Risk Assessment, as well as participating on business and compliance committees and working groups
• Strong working knowledge of taxable fixed income securities, markets, and trading systems and practices, as well as the Investment Advisers Act of 1940

Potential Salary: $93,100.00 USD

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).

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.

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