Nuveen Investments Assistant Vice President, Compliance Sr. Associate-Investment Advisor in Charlotte, North Carolina
The Assistant Vice President, Compliance Officer shall provide day-to-day Compliance support for Nuveen Alternatives Advisor’ s Asset management lines of business based in New York, Charlotte, and Chicago. The Compliance Officer shall assist in the design, implementation, and execution of a comprehensive compliance program for private alternative asset classes, including the Real Assets, Private Placement, Impact and Private Equity/Junior Capital lines of business and the registered investment adviser Nuveen Alternatives Advisors, LLC (“NAA”). Specifically, the Compliance Officer shall provide primary compliance support relating to the firm’s investment activities in U.S. private placement, private equity, real assets, fixed income, and alternative credit investments.
Key Responsibilities and Duties
Primary compliance contributor for Nuveen Alternatives Advisors Private Placement compliance oversight.
Partner with business leadership to maintain the “Tone at the Top” and “Culture of Compliance”.
Develop, regularly review, and maintain NAA Compliance policies and procedures.
Participate in the review/assessment of TIAA and Nuveen enterprise-wide policies and develop supplemental policies or procedures where necessary.
Responsible for design, enhancement of new and existing compliance monitoring procedures based on risk assessments.
Responsible for the execution of Compliance monitoring of: Investment Guidelines; affiliation reviews; allocation; and information barriers.
Deliver training specific to the Nuveen Alternatives Advisors lines of business, including all new employees.
Participate in compliance risk assessments for CAM and assist with NAA risk assessments.
Serve as liaison between NAA’ s employees and Compliance Shared Services with regard to employee conduct matters and service provider oversight, in support of controls applicable to the line of business.
Engage in investor due diligence meetings and oversee compliance content used in responses to requests-for-proposals and periodic due diligence questionnaires.
Prepare and execute international regulatory filing documents for NAA, as needed.
Play a key role in administering and reinforcing the information barrier and MNPI policies.
Responsible for monitoring of NAA’s compliance conflict of interests processes (e.g. Outside Board Activity, information barriers).
Complete compliance checklists and review BDC activities for compliance with offering documents. Produce and present periodic metrics and reports to Compliance management, business partners, and applicable boards/committees, including all matters subject to formal escalation.
Work closely with NRE Compliance Officer and serve as back-up Compliance support for NRE (real estate) business line, which itself has a significant footprint in NAA.
- University (Degree) Preferred
- 3+ Years Required; 5+ Years Preferred
- Physical Requirements: Sedentary Work
- 3 years of related buy-side Compliance or Legal experience.
5-7 years of related buy-side Compliance or Legal experience.
Experience responding to or leading regulatory examinations.
Ability to work closely with senior business leaders in a results-oriented environment.
Strong knowledge of and experience with the federal securities laws, and the Investment Advisers Act specifically. Knowledge of private fund requirements preferred.
Knowledge of private investment fund regulatory requirements.
Familiarity with direct lending industry concepts and practices.
Exceptional judgment and ability to identify and address conflicts of interest.
Excellent organizational and problem-solving skills.
Top flight written and verbal communication skills.
Strong attention to detail.
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).
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
TIAA requires all U.S. employees to be fully vaccinated against COVID-19 and provide documentation of full vaccination, unless you qualify for an accommodation as determined by TIAA consistent with applicable law.
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 (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .
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 (https://www.dol.gov/general/topics/posters) .
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Phone: (800) 842-2755
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