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Nuveen Investments Nuveen Securities AVP, Distribution Compliance in Charlotte, North Carolina

This position reports to the Vice President, Compliance Officer for Nuveen Americas Distribution Compliance, who is responsible for contributing to the development of strategy, and managing the execution of the Nuveen Securities, LLC and Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIAA-CREF family of mutual funds. In addition, Nuveen’s distribution activities in the Americas also includes Nuveen Canada Co., which serves as an exempt market dealer in certain provinces in Canada. The position will be responsible for supporting aspects of the Nuveen Securities Compliance Program relating to distribution activities and expected to provide top-flight compliance service to the relevant business partners.

Key Responsibilities and Duties

The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

  • Administer policy and procedures management activities including: tracking and updating policy action items in the respective portal; drafting revisions to policy and procedures; and coordinating stakeholder reviews, as necessary.

  • Execute assigned monitoring activities and forensic reviews for applicable compliance programs, and document results and propose process improvement changes in connection with the remediation process, as necessary.

  • Prepare and distribute supervisory reports in relation to gifts, meals and entertainment and document the completion of reviews.

  • Track Nuveen Securities’ branch office designations and inspections and conduct inspections on assigned branches.

  • Serve as point of contact for associate questions concerning cash and non-cash compensation matters.

  • Assist with evaluating prospective third-party product tools intended to be leveraged by sales personnel to assess for sales practices considerations in advance of implementation.

  • Cultivate and promote relationships with product and sales personnel of assigned sales team and develop knowledge of products, operating environment, clients and trends. Apply understanding of the business and regulatory knowledge to provide guidance to the business and identify compliance program implications.

  • Assist with document production with respect to testing, audit and regulatory examinations.

  • Track regulatory developments, trends and industry best practices impacting applicable compliance programs.

  • Other tasks as necessary to provide solid compliance support to an evolving business.

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 Qualifications:

  • 3 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.

  • Series 6 or 7; Series 63; Series 26 or 24 or must be obtained within 12 months of employment.

Preferred Qualifications:

  • 5 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.

  • Series 7 and Series 24 securities registrations required or must be obtained within 12 months of employment.

  • Bachelor’s Degree

  • Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.

  • Ability to interact with all levels of the organization.

  • Excellent verbal, written and interpersonal communication skills.

  • Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.

  • Ability to collaborate across business lines to handle conflicts.

  • Advanced Microsoft Skills.

  • Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.

  • Ability to work independently and adapt to changing and competing priorities.

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

2024-03-31

Base Pay Range: $79,500/yr. - $140,700/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 (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .

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 (https://www.dol.gov/general/topics/posters) .

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: accessibility.support@tiaa.org

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

For Applicants of Greenwood residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-privacy) .

For Applicants of Greenwood residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-portuguese-privacy) .

For Applicants of Westchester residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-privacy) .

For Applicants of Westchester residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-portuguese-privacy) .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

Privacy Notices

  • For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

  • For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

  • For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

  • For Applicants of Greenwood residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-privacy) .

  • For Applicants of Greenwood residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-portuguese-privacy) .

  • For Applicants of Westchester residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-privacy) .

  • For Applicants of Westchester residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-portuguese-privacy) .

Nondiscrimination & Equal Opportunity Employment

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

EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)

Pay Transparency

Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)

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