Senior Compliance Officer

The Senior Compliance Officer oversees broader planning for the investment company (open-end mutual funds closed-end mutual funds exchange-traded funds interval funds) compliance program to help ensure that the organization and the Funds operations and functions are in compliance with all relevant laws regulations and policies and to prevent illegal unethical or improper business practices within the organization. Working as a subject matter expert under limited supervision this job manages large projects and processes to help monitor Fund compliance and to identify investigate and report compliance risks. The job involves significant reporting to the Fund Board and oversees and provides recommendations for Fund-related policy and procedure revisions.

Key Responsibilities and Duties

• Prepares quarterly communications to the Fund Board about overall Fund compliance and operational integrity.

• Oversees extensive aspects of the Funds Compliance effort.

• Drafts reports to the Fund Board and/or Nuveen management on the results of compliance initiatives and participates in the discussion of those results with those audiences.

• Manages compliance risk assessments to identify Fund compliance issues concerns and deficiencies.

• Conducts complex investigations in response to complaints and/or potential violations of rules regulations policies and procedures.

• Manages organization and implementation of compliance audits.

• Oversees development and implementation of corrective action plans to resolve problematic compliance issues ensuring that compliance deficiencies are corrected and providing guidance to management and the Fund Board on how to avoid or handle similar situations in the future

• Reviews and approves reports on the results of compliance ethics and operations initiatives of the Funds and their service providers and communicates key takeaways from reports to management.

• Develops and implements preventative measures and compliance processes identifies opportunities to improve the communication monitoring and/or enforcement of the Funds Compliance program and recommends relevant revisions of policies and procedures to improve the general operation of the Funds Compliance program to Nuveen management and the Fund Board.

• Develops and implements new compliance processes relating to new types of Fund products that have been or are being developed e.g. semi-transparent active ETFs and interval funds.

• Reviews incident reports complaints and compliance risk assessments and interviews business unit leaders to identify Fund-related compliance issues concerns and deficiencies.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5 Years Required; 7 Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
9IC

Required Experience:

• 5 years of Mutual Fund Compliance experience required

Preferred Experience:

• 7 years of Mutual Fund Compliance experience

• University degree in Finance Business or other business-related field.

• Overall understanding of mutual funds (open-end closed-end and interval) types of mutual funds (Equity Municipal Fixed Income Public Real Assets Public Real Estate Taxable Fixed Income) and exchange-traded funds (ETFs).

• Extensive knowledge of the Investment Company Act of 1940

#LI-CS1

Anticipated Posting End Date:

Actual base salary may vary based upon but not limited to relevant experience time in role base salary of internal peers prior performance business sector and geographic addition to base salary the competitive compensation package may include depending on the role participation in an incentive program linked to performance (for example annual discretionary incentive programs non-annual sales incentive plans or other non-annual incentive plans).

Company Overview

Nuveen is a global investment leader managing public and private assets for clients around the world and on behalf of TIAA our parent company and one of the worlds largest institutional investors. We invest in the growth of businesses real estate infrastructure and natural capital providing clients with the reliability access and foresight unique to our heritage. Our prevailing perspective on the future drives our ambition to innovate and adapt our business to the changing needs of investors - all to pursue lasting performance for our clients our communities and our global to learn more about us.

Our Culture of Impact

At TIAA were on a mission to build on our 100 year legacy of delivering for our clients while evolving to meet tomorrows challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People Be Client Obsessed Lead with Integrity Own It and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveens entrepreneurial spirit where we work hard and work together to create lasting impact. Here every associate can grow through meaningful learning experiences and development pathwaysbecause when our people succeed our impact on clients lives grows stronger.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients and is equally committed to the well-being of our associates. Thats why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health wellness and work life offerings that can help you achieve and maintain your best possible physical emotional and financial well-being. To learn more about your benefits please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age race color national origin sex religion veteran status disability sexual orientation gender identity or any other legally protected status.

Our full EEO & Non-Discrimination statement is on our careers home page and you can read more about your rights and view government notices here.

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone:

Email:

Drug and Smoking Policy

TIAA maintains a drug-free and smoke/free workplace.

Privacy Notices

For Applicants of TIAA Nuveen and Affiliates residing in US (other than California) click here.

For Applicants of TIAA Nuveen and Affiliates residing in California please click here.

ForApplicants of TIAA Global Capabilities click here.

For Applicants of Nuveen residing in Europe and APAC please click here.