This position reports to the Head of Americas Distribution, Product, and Global Compliance Programs who has direct oversight responsibilities for Nuveen Securities, LLC, a registered U.S. broker-dealer, which serves as the underwriter and distributor for the Nuveen and TIAA-CREF family of mutual funds. Nuveen’s distribution activities in the Americas also includes Nuveen Canada Co.
In addition, the Head of Americas Distribution, Product, and Global Compliance Programs has direct oversight responsibilities for: Electronic Communications Monitoring; Privacy; Records Management; SEC Red Flags/ID Theft; Compliance Regulatory Reporting; and Volcker, and broader department planning related to strategy and reporting. This position will supervise one team member and oversee the Privacy, SEC Red Flags/ID Theft and Volcker Compliance Programs, and execute certain responsibilities related to strategy and reporting activities for the department.
Key Responsibilities and Duties
- Oversee execution of compliance programs for Privacy, SEC Red Flags/ID Theft and Volcker as well as, the development, implementation, and revision of policies and procedures and monitoring program(s) to improve the communication, oversight, and general operational effectiveness.
- Lead execution of compliance risk assessments, audits, and testing for supported Compliance programs, while training team member on best practices for identifying potential areas of compliance vulnerability and risk, and how to mitigate or eliminate problematic issues in the future.
- Guide the development and implementation of corrective action plans and maintain accountability for addressing deficiencies by the stated deadlines.
- Collaborate with Enterprise stakeholders to facilitate connectivity and proper alignment between applicable Nuveen and Enterprise-level Compliance programs.
- Keep abreast of new rules and regulations and evaluate impact to business activities of supported areas, and drive change to achieve compliance, as needed.
- Manage performance of team member through regular, timely feedback as well as the formal performance review process to encourage delivery of high quality compliance partnership and to foster team member engagement, motivation, and development.
- Manage tracking of internal audits, regulatory examinations/inquiries and testing results across Nuveen Compliance Programs.
- Participate in certain department strategy discussions and budget planning processes and partner with CCOs to track execution of strategic and technology initiatives and adherence to budget.
- Collaborate with CCOs to develop metrics/KPI capabilities and administer preparation and analysis of metrics/KPIs to detect trends that signal control breakdowns, and incorporate into broader reporting.
- Lead role in preparing senior-level presentations for various governance bodies and leadership forums across the organization to communicate metrics/KPIs and garner approval for policies, funding for technology initiatives, etc.
- University (Degree) Preferred
- 5+ Years Required; 7+ Years Preferred
- Physical Requirements: Sedentary Work
Career Level: 8PL
- 5+ years required in financial services compliance
- 7+ years in financial services compliance
- Bachelor’s Degree
- Experience in reviewing laws, rules, regulations and regulatory guidance from federal, state-level agencies and non-US regulators.
- Compliance experience preferred, with exposure to Privacy regulations and/or the Volcker rule is a plus
- Excellent written and verbal communication skills; ability to articulate findings to multiple audiences;
- High level of proficiency in Microsoft Excel and PowerPoint.
- Strong prioritization, quantitative, organizational and problem-solving skills; and
- Flexible, collaborative and proactive; a leader who can establish and build trust.
Potential Salary: $140,122.00 USD
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
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
TIAA requires all U.S. employees to be fully vaccinated against COVID-19 and provide documentation of full vaccination, unless you qualify for an accommodation as determined by TIAA consistent with applicable law.
Benefits and Total Rewards
The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our