Compliance job opening in Los Angeles
Nuveen Investments, Inc.
Position Title: Principal Compliance Advisor
Reports to: NWQ / SBAM Chief Compliance Officer
Location of Position: 2049 Century Park East, Los Angeles, CA
FLSA Status: Exempt
Nuveen is an indirect separate operating subsidiary of Teachers Insurance and Annuity Association of America (TIAA), a leading financial services provider. As a TIAA company, Nuveen provides comprehensive compliance support to multiple affiliated registered investment advisers under the Nuveen umbrella, two of which are located in Los Angeles (“LA Based Advisers”), NWQ Investment Management Company, LLC and Santa Barbara Asset Management, LLC.
The Principal Compliance Advisor provides day-to-day support to assist in determining the adequacy and effectiveness of implementation of Nuveen’s LA Based Advisers’ policies and procedures.
• Transactional, monthly and quarterly monitoring of written policies and procedures related to portfolio management, trading, operational and regulatory processes;
• Preparing and maintaining accurate documentation of all monitoring activities;
• Developing new or enhancing existing monitoring procedures;
• Identifying new conflicts and risks as a result of monitoring and suggesting enhancements to eliminate and/or mitigate the conflicts and risks;
• Maintaining accurate, up-to-date desk procedures of all monitoring functions; and
• Ad-hoc projects, as assigned.
• In-depth knowledge of the Investment Advisers Act of 1940, as amended;
• IACCP or similar certification is a plus;
• Proven skill in collecting and analyzing complex data and drawing valid conclusions;
• High level of proficiency in Microsoft Excel;
• Excellent written and verbal communication skills;
• Exceptionally organized with strong attention to detail; and
• Ability to multi-task, work under time constraints, and meet deadlines.
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