Job Information

Nuveen Investments Glennmont Compliance Officer in London, United Kingdom

Compliance Officer

The Compliance Officer implements broader planning for 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. Working as a subject matter expert under limited supervision, this job manages large projects and processes to identify, investigate, and report compliance risks. This job also provides recommendations for policy and procedure revisions.

Key Responsibilities and Duties

  • Manages compliance risk assessments to identify compliance issues, concerns, and deficiencies.

  • Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.

  • Manages organization and implementation of compliance audits.

  • Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.

  • Reviews and approves reports on the results of compliance and ethics initiatives of the business unit, and communicates key takeaways from reports to management.

  • Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management.

  • Coaches, reviews and delegates work to lower level team members.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level


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

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