Enterprise Compliance Sr Associate

Serve as a member of the Enterprise Communications Compliance (“ECC”) team that provides advice and guidance regarding the applicability of regulatory requirements, internal review standards, and disclosure guidelines when reviewing and documenting the approval of marketing materials.  In addition, the role will provide Compliance thought leadership and solutions on approach to new marketing initiatives, and oversight in relation to global and corporate marketing.

The majority of daily tasks will be to review marketing materials for key areas supported for compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and other regulatory or reputational risks to the firm.  ECC works closely with other departments, such as Broker Dealer Compliance, International Compliance, and Legal, and as such, this seasoned individual will serve as a key strategic partner to collaborate on broader issues relative to the support of the organization’s marketing activities. This role requires in-depth industry knowledge and regulatory experience, such as a strong understanding of applying FINRA, NAIC, GIPS, SEC and NFA/CFTC marketing rules, in order to support diverse cross-wrapper marketing initiatives across the products and services holistically offered through Nuveen and its investment specialists (including, but not limited to 529 plans, mutual funds, closed-end funds, collective investment trusts, exchange-traded funds, private funds, separately managed accounts, non-listed REITs, joint ventures, and UCITS). This role also requires knowledge regarding state insurance rules, Reg BI, and advisory/wealth regulations, to support lifetime income and annuity products and wealth-related materials offered through TIAA.

Key Responsibilities and Duties

• Review advertising, marketing and financial promotions (“marketing communications”) with limited supervision and ability to identify potential issues as part of that review and coordinate effectively with key stakeholders, such as working with professionals from non-U.S. offices, on those issues in order to come to a consensus on positioning and creation of appropriate guardrails where needed.
• Develop and communicate recommendations that support adherence to regulations, industry best practices and inform marketing personnel of any changes in regulatory requirements relating to marketing materials and provide oversight in implementing those changes into appropriate collateral.
• Provide support to help keep disclosure resources and internal guidance / review checklists up to date, current and relevant. Contribute to periodic review of disclosure guides, review and propose new disclosures and consistency in application methodology, as a subject matter expert.
• Provide excellent customer service and support to internal partners with a positive attitude and set appropriate expectations in turnaround of materials to ensure defined service level standards continue to be met or exceeded, both in terms of timeliness and quality.
• Research complex issues and help define the actions necessary to resolve the situation and escalate appropriately to management where needed.
• Assist with internal and external examinations and audits as well as program administration and review of other materials where needed.
• Opportunities to lead, perform, and participate in special projects and other duties as assigned.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC