TIAA Compliance Attorney in MINNEAPOLIS, Minnesota
Winslow Capital was founded in 1992 and has been a center of excellence for growth investing for more than 25 years. As a leader in the growth stock community, we invest in compelling asset classes where our skilled research creates advantaged opportunities for our clients. Our collective investment teams' industry experience averages more than 20 years. This experience informs our differentiated approach to proprietary fundamental and systematic research. Our client-centered culture drives client results and our relentless pursuit of excellence brings integrity and accountability to each relationship. Winslow Capital is an independent investment affiliate of Nuveen. For more information about the firm please visit our website at www.winslowcapital.com.
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 equities, fixed income, 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
As the Compliance Attorney, you will assist the Chief Compliance Officer / General Counsel (“CCO/GC”) with administering Winslow Capital’s investment adviser compliance program, ensuring that Winslow exercises due diligence and sound internal controls to operate with integrity and protect against legal risk.
Key Responsibilities & Duties:
• Responsible for the preparation and filing of various regulatory reports and disclosures.
• Responsible for the review of marketing materials.
• Responsible for certain aspects of the Winslow compliance monitoring and testing program.
• Assist the CCO/GC with the preparation of fund client SAI and prospectus disclosures.
• Assist the CCO/GC with various Winslow legal matters.
• Assist the CCO/GC in the preparation and review of investment company contract renewal documents (15(c) responses).
• Assist the CCO/GC with analyzing and interpreting new compliance regulations and standards.
• Assist the CCO/GC in the development and maintenance of compliance policies and procedures.
• Assist the CCO/GC with coordinating regulatory examinations and client due diligence reviews.
• Assist the CCO/GC with the preparation of client compliance-related reports and certifications.
• Assist the CCO/GC in the preparation of compliance-related training materials and present on compliance-related subjects.
• Assist the CCO/GC in conducting Rule 206(4)-7 annual reviews.
• Bachelor’s Degree from an accredited college or university and a JD from an accredited law school.
• Minimum of 3 years of experience working in the financial services industry, preferably in an investment advisory firm.
• Understanding of the Investment Advisers Act of 1940 and other relevant federal and state rules and regulations.
• Knowledge related to private fund regulations, the Global Investment Performance Standards, non-U.S. laws, and privacy laws are considered a plus.
• Strong interpersonal skills for interacting with senior management, clients, consultants and regulators.
• Excellent written and verbal communication skills with the ability to distill, organize, and communicate information and ideas in a clear and concise fashion.
• Excellent organizational and logic skills.
• Ability to multi-task and perform on deadline.
• Proficiency in MS Word, Excel, and other Microsoft Office applications.
Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law. If you need assistance applying due to being visually or hearing impaired, please email Careers Help. We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.
- Requisition ID: 1724847
Post Date: Jan 14, 2020