Sr Compliance Advisor-Ethics

  • Competitive
  • Charlotte, NC, USA
  • Permanent, Full time
  • Nuveen Investments
  • 20 Nov 17 2017-11-20

Sr Compliance Advisor-Ethics

The Nuveen Ethics Office provides centralized oversight of all ethics related policies and helps create and foster a culture of ethics throughout the organization. The Ethics Office (EO) develops and maintains enterprise-wide policies for topics within its purview, and serves to set a baseline standard of employee conduct throughout Nuveen. This is complimented by a strong monitoring and reporting capability. The suite of Ethics Office policies includes the Code of Ethics, Business Gifts and Entertainment, Outside Business Activities, and Global Anti-Corruption, and the Ethics Office also drives content and administers an appropriate training curriculum.

Summary of Role

The Assistant Vice President of Nuveen Ethics Office will lead the day-to-day management of the Business Gifts and Entertainment function; provide general oversight over the MNPI/Information Barrier processes and work with the various Nuveen CCOs as well as TIAA enterprise to provide detailed stakeholders' reports.
Major responsibilities include:

  • Lead, monitor and coordinate compliance monitoring and oversight activities as it relates to Business Gifts and Entertainment, Anti-Corruption and other ethics-related duties.
  • Key contributor to maintaining the Business Gifts & Entertainment and Information Barriers policies, and will perform the formalized annual review of such policies.
  • Responsible for developing and maintaining internal desk procedures for relevant business areas.
  • Assist manager in the maintenance and development of online training modules. Coordinate with Learning and Communication partners to develop management reports to reflect the status of various training programs provided to employees.
  • Work in collaboration with Nuveen's CCOs and other departments and staff throughout the organization to promote awareness of applicable policies. Provide customized reporting to the array of stakeholders, including various governance committees, Nuveen's CCOs and business leaders that encompass appropriate metrics and other forms of data regarding employee adherence with the Business Gifts and Entertainment and Information Barrier policies.
  • Assist in the design and maintenance of a Compliance Risk Assessment in regard to assigned functions, along with key risk indicators (KRI) to provide opportunities for proactive risk management.
  • Manage the approval process for sponsorship/raffle/education activities for Nuveen and TIAA enterprise.
  • Provide subject matter expertise, guidance, and policy interpretation for ethics matters raised by employees either directly or via channels (e.g. Ethics Helpline, management, Nuveen EO Email or Hotline etc.)
  • Manage and facilitate violation determination and issue management meetings and discussions.
  • Creation of quarterly metrics and board reports summaries for G&E and MNPI/Information Barriers.
  • Coordinate reporting for the Ethics Office around actual or potential conflicts of interest around Gifts and Entertainment.
  • Manage issue management database for the Ethics Office including issues resolution and deadlines.
  • Provide assistance to manager to respond to both internal and external audits.
  • Assist the EO in its' coordination and management of the quarterly personal trading certification process to ensure regulatory compliance.
  • Assist the Ethics Office with special projects.
Required Qualifications
  • Five plus years of experience in Compliance within the financial services industry, with specific substantive experience in the asset management segment of the industry.
  • Successful candidate should have past supervisory experience and knowledgeable in relevant securities laws and practices.
  • Strong Microsoft Suite knowledge. Ability to perform advanced Vlookups and pivot tables.
  • Bachelor's Degree required.
  • Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls.
  • Excellent verbal, written and interpersonal communication skills.
  • Strong understanding of Information Barriers/MNPI and related controls.

Desired Qualifications
  • Ability to interact with all levels of the organization including the Executive Management Team
  • Experience withInformation personal trading surveillance systems/tools ideal.
  • Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls
  • Ability to collaborate across business lines to handle conflicts
  • Ability to prioritize workload and prioritize for effectiveness in meeting deadlines
  • Ability to work independently and adapt to changing and competing priorities

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