AVP, Principal Compliance Advisor - Ethics Office

  • Competitive
  • Charlotte, NC, États-Unis
  • CDI, Plein-temps
  • Nuveen Investments
  • 18 nov. 17 2017-11-18

AVP, Principal Compliance Advisor - Ethics Office


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.com

Major Responsibilities:

  • Responsible for a weekly review of all accounts reported within the personal trading system to determine compliance with corporate reporting deadlines and for the issuance to employees of any associated violations and subsequent remedial actions.
  • Review and resolve data load errors within the personal trading system pertaining to broker accounts, broker transactions and broker positions on a daily basis.
  • Prepare 407 Letters in response to employee requests when opening accounts at another financial institution in which securities transactions can be effected and in which the employee has a beneficial interest.
  • Process Broker Account Waiver Forms for requests by employees to hold an account outside of the Approved Broker List requirement.
  • Facilitate review and approval of Managed Account Forms and ensure proper set up of such accounts within the personal trading system.
  • Perform a quarterly reconciliation of approved broker electronic feeds to ensure that all accounts and transactions have been captured for the quarter.
  • Responsible for preparing monthly corporate metrics and quarterly Nuveen Funds Board metrics in connection with late account reporting violations.
  • 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 Affiliate CCOs).
  • Coordinate the annual employee account surveillance review with the third party vendor to ensure that accounts are properly disclosed.
  • Contribute to the development and enhancement of EO desk procedures.
  • Assist the EO in its' coordination and management of the quarterly personal trading certification process to ensure regulatory compliance.
  • Assist the EO with special projects.
Required Skills:
  • 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. Proficiency with Excel including 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.

Preferred Skills:
  • 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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