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Nuveen Investments Compliance - Senior Compliance Advisor, AVP - Based in London, UK in London, United Kingdom

The Senior Compliance Advisor will support and assist the UK Compliance Department as well as Nuveen Compliance in Europe and Asia-Pacific in providing a robust compliance framework in support of Nuveen activities in Europe and Asia-Pacific. This role is predominantly, but not solely, focused on executing the Compliance programme around the new Fixed Income dealing and portfolio management activity that is currently being established in the UK.

The Compliance function provides advice on queries and regulatory change as well as providing independent monitoring to ensure the business continues to operate within the appropriate regulatory standards, internal policies and industry norms.Â

The candidate engages with staff across business lines and international colleagues, including our partners in Legal and Compliance in the U.S. The ability to engage and deliver on key change initiatives is critically important.

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Duties will include:

•   Provide advice and guidance to the business on regulatory and compliance issues as required (MiFID II, Market Abuse (MAD/MAR), EMIR);

•   Develop and maintain compliance policies covering fixed income dealing and portfolio management;

•   Maintain the policy tracker and work alongside senior compliance colleagues to annually review the design effectiveness of compliance policies;

•   Track and maintain log of emerging regulatory developments;

•   Analyse, interpret and communicate internally on regulatory developments;

•   Undertake and coordinate regulatory reporting (Form ADV, Form D);

•   Create, enhance and complete required monitoring programme for Nuveen Europe and APAC and provide a point of contact for Compliance colleagues in other Europe & APAC offices regarding data and metrics;

•   Monitoring activities include but are not limited to:

o   Fixed income trading activity, including allocation, cross and trades among other topics

o   Transaction reporting

o   E-comms;

o   CASS;

o   Suitability and Client classification.

•   Assist with ad hoc requests and provide compliance advice;Â

•   Liaise with the business in relation to compliance issues identified and ensuring remedial action points are followed up;

•   Assist in various ad hoc compliance projects and initiatives as required from time to time;

•   Provide training to the relevant business units and senior management on all relevant compliance and regulatory matters;

•   Liaise and develop compliance contacts across the Nuveen affiliates and Group Compliance.

Technical Skills & Qualifications Required

•   Experience providing coverage as Front office compliance for an institutional investment management business, specifically in relation to dealing and portfolio management activities.

•   Strong knowledge and prior experience with fixed income instruments and markets

•   Experience in undertaking monitoring reviews and performing control oversight.Â

•   Understanding of MiFID II, Market Abuse regulation, EMIR, CASS.Â

•   Compliance related qualification desirable.Â

Competencies Required

•   Excellent organisation skills, including the ability to prioritize work. Â

•   Highly effective interpersonal skills, resulting in the ability to liaise with all levels of staff and management.Â

•   Strong written and verbal communication skills.

•   Model the values of the wider Nuveen Group.

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Duties will include:

  • Provide advice and guidance to the business on regulatory and compliance issues as required (MiFID II, Market Abuse (MAD/MAR), EMIR);

  • Develop and maintain compliance policies covering fixed income dealing and portfolio management;

  • Maintain the policy tracker and work alongside senior compliance colleagues to annually review the design effectiveness of compliance policies;

  • Track and maintain log of emerging regulatory developments;

  • Analyse, interpret and communicate internally on regulatory developments;

  • Undertake and coordinate Regulatory reportings (Form ADV, Form D);

  • Create, enhance and complete required monitoring programme for Nuveen Europe and APAC and provide a point of contact for Compliance colleagues in other Europe & APAC offices regarding data and metrics;

  • Monitoring activities include but are not limited to:

  • Fixed income trading activity, including allocation, cross and trades among other topics

  • Transaction reporting

  • E-comms;

  • CASS;

  • Suitability and Client classification.

  • Assist with ad hoc requests and provide compliance advice;

  • Liaise with the business in relation to compliance issues identified and ensuring remedial action points are followed up;

  • Assist in various ad hoc compliance projects and initiatives as required from time to time;

  • Provide training to the relevant business units and senior management on all relevant compliance and regulatory matters;

  • Liaise and develop compliance contacts across the Nuveen affiliates and Group Compliance.

Technical Skills & Qualifications Required

  • Experience providing coverage as Front office compliance for an institutional investment management business, specifically in relation to dealing and portfolio management activities.

  • Strong knowledge and prior experience with fixed income instruments and markets

  • Experience in undertaking monitoring reviews and performing control oversight.

  • Understanding of MiFID II, Market Abuse regulation, EMIR, CASS.

  • Compliance related qualification desirable.

Competencies Required

  • Excellent organisation skills, including the ability to prioritize work.Â

  • Highly effective interpersonal skills, resulting in the ability to liaise with all levels of staff and management.

  • Strong written and verbal communication skills.

  • Model the values of the wider Nuveen Group.

FCA registration required: No

ASIC registration:Â No

Hong Kong registration required: No

Other registration: No


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.Â

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:Â

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

Privacy Notices

For residents of California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) to access the TIAA CA Applicant Privacy Notice.

For residents of the EU / UK, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) to access the EU / UK Pre-employment Notice.

For all other residents, click here (http://www.tiaa.org/public/tiaa-nuveen-privacy) to access the Applicant Privacy Notice.

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