VP, Compliance Officer
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. For more information about the firm please visit our website at www.Nuveen.com
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.
Qualifications
- 5 Years Required; 7 Years Preferred
- University (Degree), Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Preferred Education
- University (Degree)
Career Level
8IC
This position is open across the U.S. with preferred locations in Chicago, NY and Charlotte, NC
- Reviews incident reports, complaints and compliance risk assessments, and interviews business unit leaders, to identify Fund-related compliance issues, concerns, and deficiencies.
- Drafts reports to the Fund Board and/or Nuveen management on the results of compliance and ethics initiatives, and participates in the discussion of those results with those audiences.
- Prepares quarterly communications to the Fund Board about overall Fund compliance and operational integrity.
Qualifications:
Required Qualifications:
• 5 Years of experience in Compliance Investment Management or Securities
Preferred Qualifications:
- Bachelor’s Degree
- 7 Years of experience in Compliance Investment Management or Securities
Minimum Pay: $72,700.00
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