Director, Proxy Voting Operations

Proxy Operations
The Director of Proxy Operations manages a team responsible for proxy account setup, voting execution, and proxy reporting across Nuveen. The function involves working with custodian banks to ensure full account set up and flow of proxy ballots as well as the monitoring of accurate voting positions, dissemination of proxy research to portfolio managers and interactions with third party vendors on proxy voting matters.

Key Responsibilities and Duties

• Manages Proxy team through the full lifecycle, including performance appraisals, hiring, promotion, salary, termination etc., for direct reports and subordinate staff.
• Identifies and evaluates fundamental operations and control issues, providing strategy and direction to attain compliance with control design, industry expectations and regulatory requirements with focus on operating effectiveness and efficiencies across the organization.
• Evaluates the business operations and develops relevant control and process improvement ideas to assist the organization in meeting its goals.
• Ensure accounts are correctly set-up for proxy voting at the firm, custodian banks, and third party vendors. Audit and reconcile existing setups to identify areas of focus for additional scrutiny.
• Ensure proper documentation of standard operating procedures and oversight functions.
• Communicate daily with vendors, custodian banks, IT, internal business partners and internal clients to determine proper functioning of processes and to resolve operational issues in a timely manner.
• Support Responsible Investing team in the submission of proxy votes and processing of external engagement requests, and identifying opportunities for the improvement in the efficiency and reliability of the group’s procedures and operations, including through automation and systemization.
• Support the Legal and Compliance department in meeting regulatory requirements on proxy voting and reporting.
• Support Responsible Investing team with running regular reporting and analytics across proxy voting and engagement.
• Undertake ad-hoc company data collection and aggregation for priority engagement initiatives and other Responsible Investing team projects.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC