TIAA Managing Director, Associate General Counsel- Regulatory Affairs in CHICAGO, Illinois
Managing Director, Associate General Counsel- Regulatory Affairs
Location: United States, Illinois, Chicago
Field: Legal, Compliance, & Risk
Post Date: Feb 01, 2019
As long as there are people who make the world a better place, we'll keep making a difference for them. Since 1918, it has been TIAA's mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.
When you work here at TIAA, you're not just in it for yourself. You are part of something bigger. A collective mission to make a difference - a collective mission we make our own.
To be difference makers.
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The Managing Director, Regulatory Affairs is responsible for helping TIAA meet its regulatory obligations, maintain constructive relationships with regulators, and promote TIAA’s reputation for integrity and excellence. This individual willoversee the regulatory and supervisory relationships for TIAA and Nuveen’s approximately 20 registered investment advisors, investment companies, and broker-dealers.
KEY RESPONSIBILITIES AND DUTIES:
Manage regulatoryexams, inquiries, and investigations conducted by the SEC, CFTC, FINRA, NFA,DOL, state securities regulators, and other regulatory agencies
Report to seniormanagement and Board (particularly Nuveen Fund Board) on significant regulatorydevelopments
Lead the Company’sadvocacy efforts on securities and asset management related regulatoryproposals and policy issues
Work with Law,Compliance, and business partners to mitigate and manage regulatory risks andremediate exam findings
Provide securitieslaw and related advice in the context of managing regulatory inquiries,regulatory policy advocacy, addressing regulatory and legal risks, andremediation of exam findings
Manage the team’stravel, subscriptions, outside counsel and consultants, and staff developmentbudgets
JD Degree and a member in goodstanding of a state bar
10+ years of regulatory and/or legalexperience
Industry experience via working at anindustry regulatory agency, a financial service institution and/or in a privatelaw practice advising clients
Strong oral and writtencommunication skills
Knowledge of securities laws and industrystandards and norms applicable to registered investment advisers,broker-dealers, and the asset management industry.
Ability to identify and address subtle andcomplex issues
Ability to troubleshoot and resolve complexproblems utilizing creativity, transparency, legal knowledge, advocacy skills, andanalytical acuity
Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the.
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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).
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- Requisition ID: 1717532