Nuveen Securities AVP, Distribution Compliance

Nuveen

Location: Chicago, IL

Job Summary:

This position reports to the Vice President, Compliance Officer for Nuveen Americas Distribution Compliance, who is responsible for contributing to the development of strategy, and managing the execution of the Nuveen Securities, LLC and Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is 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., which serves as an exempt market dealer in certain provinces in Canada. The position will be responsible for supporting aspects of the Nuveen Securities Compliance Program relating to distribution activities and expected to provide top-flight compliance service to the relevant business partners.

Primary Responsibilities:

The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

• Administer policy and procedures management activities including: tracking and updating policy action items in the respective portal; drafting revisions to policy and procedures; and coordinating stakeholder reviews, as necessary.

• Execute assigned monitoring activities and forensic reviews for applicable compliance programs, and document results and propose process improvement changes in connection with the remediation process, as necessary.

• Prepare and distribute supervisory reports in relation to gifts, meals and entertainment and document the completion of reviews.

• Track Nuveen Securities’ branch office designations and inspections and conduct inspections on assigned branches.

• Serve as point of contact for associate questions concerning cash and non-cash compensation matters.

• Assist with evaluating prospective third-party product tools intended to be leveraged by sales personnel to assess for sales practices considerations in advance of implementation.

• Cultivate and promote relationships with product and sales personnel of assigned sales team 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.

• 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

• SRC Indicator: Series 6 or 7; Series 63; Series 26 or 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

• 7IC

Qualifications:

Required Qualifications:

3 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 Qualifications:

• 5 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.