Managing Director and Chief of Staff, Nuveen Compliance

  • Competitive
  • Chicago, IL, États-Unis
  • CDI, Plein-temps
  • Nuveen Investments
  • 14 déc. 17 2017-12-14

Managing Director and Chief of Staff, Nuveen Compliance

About the Company

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.co m.

Position Summary:
The position will serve as Managing Director and Chief of Staff for the Nuveen Compliance Department. Nuveen is a global asset manager with $900 Billion AUM supported by a Compliance organization comprised of 80+ compliance professionals who are geographically dispersed.

Major Responsibilities:

  • Key contributor to the design, compilation, and prioritization of Nuveen's annual Compliance Strategic Plan. Ensure proper coordination with the TIAA Corporate Compliance Strategic Plan. Track and report on status throughout the year.
  • Develop all reporting/governance materials (presentations) utilized by the SMD & Head of Compliance, including Nuveen Board meetings and the Risk and Compliance Committee meetings.
  • Drive select strategic initiatives, typically those that may not have a 'natural owner' based on the organizational structure of Nuveen Compliance and span multiple business lines or legal entities.
  • Lead, and collaborate, on the development and ongoing evolution of key metrics that effectively represent the state of the Compliance program. Interpret metrics and advocate for action items where appropriate. Collect/produce metrics on a recurring basis for use in various governance forums.
  • Oversee the Compliance programs in relation to U.S. Privacy and the Volcker Rule.
  • Lead interface with IT to prioritize Compliance technology initiatives and oversee progress against plan.
  • Interface with Finance and develop annual Compliance budget. Monitor status throughout the year and recommend corrective action where necessary.
  • Point of coordination with the HR Learning Group to stage all Nuveen Compliance Enterprise-wide training, and coordinate with other Nuveen and TIAA functional areas as necessary.
  • Plan annual strategic offsite meetings.
  • Plan agendas for Compliance All-Hands meetings.
  • Key contributor in weekly leadership team staff meetings.
  • Liaison with Internal Audit and centrally track all compliance-related Management Action Plans.
  • Perform oversight relative to the issue escalation process and Compliance's execution against action items.
  • Responsible for any office space planning for Compliance personnel.


Required Skills and Experience:

  • The position will supervise one team member.
  • 10+ years as a financial service professional, with at least 3 years in Compliance, Legal, Internal Audit or with a regulator. Asset Management experience strongly preferred.
  • College degree required
  • Outstanding written and verbal communication skills.
  • Ability to effectively multi-task, with superlative organizational skills
  • Accomplished user of PowerPoint, Excel, Word, Visio
  • Top-flight project management skills


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