The position is responsible for leading and managing all aspects of Nuveen’s Global Marketing Compliance program. The MD and team play a critical role in supporting the growth and development of Nuveen’s business by providing exceptional guidance and oversight, together with a strong commercial orientation.    

Key Responsibilities and Duties

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

Ownership for developing and maintaining Nuveen group-level marketing policies and all internal interpretative reference materials, along with execution of the annual Compliance Risk Assessment.Drive a risk-based approach that is anchored by industry best-practices to define scope of marketing materials and communications that require pre and post-use review.  Manage a team of 8-12 geographically dispersed Marketing Compliance professionals based in the U.S. and abroad.Conceive and implement a systemic approach to the allocation of marketing submissions for review by Marketing Compliance professionals and build out an efficient end-to-end workflow.Negotiation of service level agreements with business partners and manage team to ensure that SLA targets are achieved.      Foster a culture among the team that provides consistent, commercial, and prudent commentary in relation to marketing and communications content, and is obsessed with providing top-flight support to Marketing professionals.Design and implement an internal system of monitoring/oversight as a form of overall quality assurance and policy adherence for post-use content.     Design and oversee production of recurring metrics that provide insight into the team performance, risk, and policy adherence.Serve as point person to effectively manage working relationships with senior Marketing leaders.Stay abreast of and seek to implement, where appropriate, technology capabilities that optimize efficiency and effectiveness.Serve a Chair of the cross-functional Nuveen Disclosure Oversight team to drive and maintain current, accurate, and consistent disclosure language.     Establish a strong partnership with members of the Legal Department and Compliance colleagues who are responsible for Product, Distribution, Investment Management, and ESG compliance. Routinely interface with Compliance Testing and Internal Audit personnel, and support regulatory examinations as needed.

Additional Responsibilities

Develops and implements a system for allocating marketing and communications submissions for review; leverages technology capabilities as appropriate to optimize efficiency and effectiveness.Establishes strong partnership with key Legal, Risk and Compliance stakeholders responsible for compliance within various business areas, including product, distribution, retirement plans, recordkeeping services, investment management, and ESG.Chairs and leads a cross-functional working group to drive and maintain current, accurate, and consistent disclosure language.Define service-level standards and negotiate service-level agreements with business partners; manage team to ensure that SLA targets are achieved or exceeded, both in terms of timeliness and quality.Interfaces with compliance testing and internal audit personnel, and supports regulatory examinations as needed.

Educational Requirements

University (Degree) Preferred

Work Experience

10+ Years Required

FINRA Registrations

SRC Indicator: Series 7; Series 24

Physical Requirements

Physical Requirements: Sedentary Work

Career Level
11PL

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking

Anticipated Posting End Date:

2024-11-21

Base Pay Range: $225,000/yr. - $300,000/yr.

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). 

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Company Overview

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

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 Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We 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 protected status.

Read more about the Equal Opportunity Law here.

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