Compliance Job Opening

Nuveen Investments, Inc.
Position Description

Position Title: Senior Compliance Analyst, AVP
Reports to: Chief Compliance Officer, LA Shared Services
Location/Depart/Status: Los Angeles / Legal & Compliance / Exempt

Company Overview
Nuveen is an indirect separate operating subsidiary of Teachers Insurance and Annuity Association of America (TIAA), a leading financial services provider, and an operating division of TIAA Global Asset Management (TGAM). TGAM provides comprehensive compliance support to multiple affiliated registered investment advisers under the TGAM umbrella, two of which are located in Los Angeles: NWQ Investment Management Company, LLC and Santa Barbara Asset Management, LLC.

Position Summary
The Senior Compliance Analyst is responsible for testing policies and procedures for compliance with Rule 206(4)-7 as well as supporting the CCO in a wide-range of ad hoc projects for the two Los Angeles affiliates. The analyst is expected to develop a complete knowledge of each affiliate and its products, internal policies and procedures and regulatory requirements related to their respective Compliance Programs. Additionally, the analyst will also develop credibility and solid working relationships with personnel in other shared services departments in order to identify conflicts and risks which could impact the affiliates.

Primary Responsibilities
* Conduct risk and control assessments;
* Conduct comprehensive testing of written policies and procedures;
* Develop new, or enhance existing, testing protocols;
* Identify new risks as a result of testing and suggest enhancements to policies and procedures or processes to eliminate or mitigate risks;
* Act as primary liaison to the GRC system administrator; and
* Assist the CCO in supporting the affiliates on a wide range of ad hoc projects.

* In-depth knowledge of the Investment Advisers Act of 1940, as amended;
* Working knowledge of the Investment Company Act of 1940, as amended;
* IACCP certification is a plus;
* Minimum five years Investment Adviser monitoring or testing experience;
* Experience interacting with all levels of an organization; and
* Exceptional attention to detail, interpersonal, verbal and written skills.

The above description is not intended to be an all-inclusive list of the duties and responsibilities of the position nor are the qualifications intended to be a listing of the all skills and abilities required to perform the job.

To Apply Send resumes to:

Carl Ayers
Publisher, IA Watch
Two Washingtonian Center
9737 Washingtonian Blvd., Suite 502
Gaithersburg, MD 20878
Link to me via LinkedIN
Fax: 301-287-2121
Our YouTube Channel:
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