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.

• 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.

• University (Degree) Preferred

• 5+ Years Required; 7+ Years Preferred

• Sedentary Work

9IC

• 5 years of Mutual Fund Compliance experience required

• 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, 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

• Adaptability
• Business Process Understanding
• Compliance
• Compliance Trends
• Critical Thinking
• Detail‑Oriented
• Influence
• Relationship Management
• Risk Monitoring
• Strategic Thinking

$149,000/yr - $209,000/yr

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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