AVP, Principal Compliance Advisor

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Nuveen Investments
  • 18 Dec 17 2017-12-18

AVP, Principal Compliance Advisor


Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website at www.Nuveen.com


The position will support Managing Director and Chief of Staff for the Nuveen Compliance Department. This person will engage in and support a wide range of activities to support the effective current functioning of Nuveen Compliance organization. Nuveen is a global asset manager with $900 Billion AUM supported by a Compliance organization comprised of 80+ compliance professionals who are geographically dispersed.


  • Work closely and support Chief of Staff with design, compilation, and prioritization of Nuveen's annual Compliance Strategic Plan. Responsible for tracking and reporting on status throughout the year.
  • Assist Chief of Staff in producing reporting and developing presentations for Senior Managing Director & Head of Compliance for Nuveen Board meetings and the Risk and Compliance Committee meetings among others.
  • Support Chief of Staff in the continuing advancement Compliance department key priorities and \"managing compliance risk\" frameworks. Pro-actively ensure information flow while identifying and escalating, where appropriate, gaps to ensure smooth execution of Compliance priorities.
  • Collect/update key metrics on a recurring basis for use in various governance forums.
  • Support Chief of Staff in overseeing U.S. Privacy and the Volcker Rule Compliance programs.
  • Engage in a wide range of activities, key strategic initiatives and projects that span multiple business lines or legal entities to ensure exceptional execution and outcomes.
  • Monitor and regularly report on Compliance annual budget.
  • Help Chief of Staff plan annual strategic offsite meetings.
  • Work on ad-hoc projects to support the day to day management and operations of Compliance department.


  • Bachelor degree or higher in a related field.
  • Minimum 5 years experience in Financial Services, with at least 1-2 years in Compliance, Legal, and Internal Audit or with a regulator. Asset Management experience strongly preferred.
  • Ability to engage and work effectively with senior business management and staff in multiple locations demonstrating ability to develop into a leader to manage and influence teams and provide pro-active support.
  • Effective project management and organizational skills.
  • Strong PowerPoint skills are required for analysis, presentations and MIS. Proficiency in Word and Excel also required.
  • Must be detail-oriented and have an analytical mindset with the ability to deliver key insights.
  • Excellent writing skills.
  • Ability to effectively prioritize work efforts and manage multiple projects simultaneously.
  • Strong ownership mentality with exceptional resourcefulness and drive for results.
  • Flexibility and versatility to adapt quickly to changing business priorities.
  • Strong work ethic and ability to work independently.
  • Execute tactically on a day-to-day basis.

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