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TIAA AVP, Principal Compliance Advisor – Marketing Review in CHICAGO, Illinois

About the Company

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.

Summary of Role

Serve as a member of the Marketing Review Compliance (“MRC”) 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 initiatives in emerging areas of communications/ technology, including the use of social media, website content development and functionality capabilities, digitalization, and mobile applications.

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. MRC 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 Nuveen’s marketing activities. This role requires in-depth industry knowledge and regulatory experience, such as a strong understanding of applying FINRA, 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).

Duties and Responsibilities: The following duties are generallyrepresentative of the nature and level of work assigned and are not necessarilyall inclusive.

  • Review materials with limited supervision andability to identify potential issues as part of that review and coordinateeffectively 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 andcreation of appropriate guardrails where needed.

  • Develop and communicate recommendations thatsupport adherence to regulations, industry best practices and inform marketingpersonnel of any changes in regulatory requirements relating to marketingmaterials and provide oversight in implementing those changes into appropriatecollateral.

  • Maintain policies and procedures regardingmarketing material content and review, such as various reference materials, andprovide support to keep disclosure resources up to date, current and relevant.

  • Provide excellent customer service and supportto internal partners with a positive attitude and set appropriate expectationsin turnaround of materials to ensure defined service level standards continueto be met or exceeded, both in terms of timeliness and quality.

  • Researchcomplex issues and help define the actions necessary to resolve the situationand escalate appropriately to management where needed.

  • Assist with internal and external examinationsand audits as well as program administration and review of other materialswhere needed.

  • Opportunitiesto lead, perform, and participate in special projects and other duties asassigned.



  • Bachelor’s degree

  • 5+ years of experience in legal and/or compliance

  • 1+ years ofmarketing review, advertising compliance, marketing compliance, and/orcommunication review experience


  • AssetManagement experience

  • 5+ years ofmarketing review, advertising compliance, marketing compliance, and/or communicationreview experience

  • Series 7 and Series 24 securitiesregistrations required or must be obtained within 12 months of employment.

  • Comfortable in a highperformance, fast paced, high-pressure environment and have exceptionalpartnering skills as teamwork and collaboration are highly valued.

  • Strong analyticalskills and ability to formulate, develop and execute strategic initiativeswill be critical for success.

  • Must have exemplary written andoral communication skills, which translates the ability to interact effectivelywith business partners and colleagues.

  • Must be able to articulateregulatory considerations and concerns, keeping abreast of regulatorydevelopments surrounding marketing compliance and be able to nimblyrespond to a rapidly changing and complex regulatory environment.

  • Demonstrated knowledge of a broadrange of financial products and related regulatory requirements.

  • Familiarity with internationalregulatory considerations and best practices stemming from globalmarketing and distribution efforts is a plus.

  • Technologically adept and savvy,both in terms of Marketing’s use of technology and the deployment ofleading technology in relation to compliance processes.

  • Ability toexercise sound judgement in decision making and problem-solving, being aforward thinker, able to anticipate problems and propose recommendationson how to solve for them.

Equal Employment Opportunity is not just the law, it’s ourcommitment. Read more about the .

If you need assistance applying due to visually or hearingimpaired, please email .

We are an Equal Opportunity/Affirmative Action Employer. We willconsider all qualified applicants for employment regardless of age, race,color, national origin, sex, religion, veteran status, disability, sexualorientation, gender identity, or any other legally protected status.

Additional Information

  • Requisition ID: 1723429

Company: Nuveen

Post Date: Nov 07, 2019