Nuveen Securities AVP, Distribution Compliance
Nuveen
Location: Chicago, IL
This position reports to the Chief Compliance Officer 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. In addition, Nuveen’s distribution activities in the Americas also includes Nuveen Canada Co. The position will be responsible for supporting aspects of the Nuveen Securities and Nuveen Canada Co. Compliance Programs relating to distribution activities, and expected to provide top-flight compliance service to the relevant business partners.
Key Responsibilities and Duties
Execute assigned monitoring activities and forensic reviews for applicable compliance programs, document results and propose process improvement changes in connection with the remediation process, as necessary.
Assist with executing compliance oversight of sales practices within the Americas, including administration of the Cross-Border Sales/Marketing Compliance Program.
Support administration of the Nuveen Canadian distribution entity’s Compliance program.
Coordinate the intra-department analysis of new product concepts in connection with the organization’s Product Approval Process and monitor for implementation of Compliance requirements prior to launch.
Participate in drafting Compliance policies and procedures to support new products or strategies, as needed.
Administer aspects of the Licensing and Registration program for Nuveen Securities.
Cultivate and promote relationships with sales and product development personnel and develop knowledge of products, operating environment, clients and trends. Apply understanding of the business and regulatory knowledge to provide guidance to the business and identify compliance program implications.
Conduct inspections of branch offices.
Assist with document production with respect to testing, audit and regulatory examinations.
Track regulatory developments, trends and industry best practices impacting applicable compliance programs.
Other tasks as necessary to provide solid compliance support to an evolving business.
Educational Requirements
University (Degree) Preferred
Work Experience
3+ Years Required; 5+ Years Preferred
FINRA Registrations
Series 6 or 7; Series 63; Series 26 or 24
Physical Requirements
Physical Requirements: Sedentary Work
Qualifications:
Required:
3-5 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.
Series 7 and Series 24 securities registrations required or must be obtained within 12 months of employment.
Preferred:
5-7 years of applicable experience working in the securities industry, working for an investment adviser or broker-dealer.
Bachelor's Degree
Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
Ability to interact with all levels of the organization.
Excellent verbal, written and interpersonal communication skills.
Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
Ability to collaborate across business lines to handle conflicts.
Advanced Microsoft Skills.
Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
Ability to work independently and adapt to changing and competing priorities.