Job Information

TIAA VP, Head of Oversight in NEW YORK CITY, New York


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.


Reporting to Nuveen’s managing director and head of transformation and oversight, the successful candidate will lead a team of four coordinating due diligence, oversight, business continuity, key controls, and metrics and audit coordination on behalf of Nuveen’s Global Investment Operations (NGIO) division. NGIO performs all trade settlement, pricing, corporate actions, portfolio accounting and reconciliation, collateral management and wires functions for several of the firm’s largest affiliates as a shared service, encompassing more than $750 billion.


The head of NGIO’s oversight team is responsibilities include:

  • Representing NGIO in all due diligence meetingswith current and prospective clients

  • Performing internal oversight of key functionswithin NGIO

  • Maintaining a log of all key controls throughoutNGIO

  • Coordinating all authorized signature lists forNGIO

  • Coordinating all NGIO efforts with regard toNuveen requirements and testing for business continuity and disaster recovery

  • Coordinating responses to regulatory exams andcompliance reviews

  • Tracking audits, audit responses and managementaction plans (MAPs)

  • Coordinating and reviewing all NGIO responses torequests for proposal (RFPs)

  • Maintaining and publishing monthly and quarterlymetrics for NGIO

  • Developing new metrics to evaluate effectivenessand / or efficiency of NGIO teams

  • Developing and publishing scorecards ofcustodian and counterparty performance

  • Where possible, benchmarking NGIO againstindustry competitors

  • Oversight of Nuveen’s securities lendingactivities

  • Board reporting for key activities, such assecurities lending or best execution analyses



  • 5+ years ofexperience in buy-side traditional or alternative asset management operations.


  • Bachelor’s Degree

  • Experience andsuccess managing and motivating teams

  • Ability topartner well with others in operations and throughout Nuveen and TIAA

  • Excellent oraland written communication skills

Must understand and evaluate operational processes, including their interaction with systems processes and interfaces to identify opportunities for improvement as well as critical weaknesses and opportunities for exploitation. Must understand and be able to articulate an effective control environment across all operational functions within Nuveen supporting a broad array of asset classes and security types. Analytical skills must be combined with deep domain experience to evaluate scenarios, look at processes with a critical eye and ‘think like a thief.’

In-depth knowledge of the lifecycle of various securities not limited to equities, fixed income, mutual funds, derivatives, private equity and private debt as well as an understanding of how the different areas of investment operations work together as one team to meet goals. Significant understanding of operational risk within investment management is required, including (but not limited to) a strong understanding of which duties must be segregated (and why) and design of an effective control environment. Strong communication and presentation skills are essential.

Have an exceptional understanding of the investment management business with in-depth knowledge of buy-side operations across trade settlement, corporate actions, pricing, collateral management, portfolio accounting and custodian reconciliation. Knowledge of portfolio accounting systems, settlement utilities (such as Omgeo, SWIFT and DTCC) and custodians is key. Prior experience with operational due diligence is necessary. Experience with multi-currency investing, portfolio accounting and performance measurement is essential.

Ability to effectively communicate with a large number of internal and external parties, display ability to actively listen, work as one team, and speak confidently and effectively to both small and large groups is key to this position. Ability to make a persuasive argument, both orally and in writing, is critical for this role. Soft sales skills are important, especially for operational due diligence meetings. Will represent Nuveen at industry conferences and external events.

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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.

Additional Information

  • Requisition ID: 1722163

Company: Nuveen

Post Date: Sep 23, 2019