AVP, Compliance Advisor; RIA Compliance Sr Associate

The AVP provides day-to-day compliance support for an SEC-registered investment adviser ("RIA") covering alternative strategies, including real estate and real assets, and the underlying business areas of the RIA. This role is a key contributor to the design, controls, and execution of the compliance program, partnering closely with the RIA's Chief Compliance Officer and business partners in assigned coverage areas. Working knowledge of alternative asset classes is a plus but not required.

• Support day-to-day compliance inquiries from business partners of all levels.
• Assist with developing, reviewing and maintaining the RIA's compliance policies and procedures to ensure alignment with evolving regulatory requirements.
• Execute compliance monitoring across key areas, including investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight.
• Support the preparation and submission of international regulatory filings, supporting the RIA's global regulatory footprint.
• Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
• Drive collection of data and the preparation and filing of annual Form ADV and Form PF submissions, ensuring timely regulatory compliance.
• Support investor due diligence meetings and help oversee compliance-related content included in RFP responses and periodic due diligence questionnaires.
• Support the expansion of international regulatory oversight capabilities across the RIA's business lines.

• University (Degree) Preferred

• 3+ Years Required; 5+ Years Preferred

• Physical Requirements:
  
  Sedentary Work

7IC

• 3 or more years of experience in regulatory compliance within financial services industry
• Experience supporting Registered Investment Advisers that manage Alternatives asset class strategies and private placements
• Working knowledge of various fund structures, including both registered and unregistered funds

• 5 or more years of experience in a regulatory compliance within financial services industry
• Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
• Bachelor's degree
• High proficiency in Microsoft Excel and Power Point

Related Skills Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

Base Pay Range: $87,800/yr - $119,000/yr

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 location. In 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).

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 world’s 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 economy.

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At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's 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…