Associate - Compliance

Compliance Associate
The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and Duties
• Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies.
• Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
• Supports organization and implementation of compliance audits.
• Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
• Drafts reports on the results of compliance and ethics initiatives of the business unit.
• Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
• Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.
Educational Requirements
• University (Degree) Preferred
Work Experience
• 2+ Years Required; 3+ Years Preferred
Physical Requirements
• Physical Requirements: Sedentary Work

Career Level
6IC

Key Duties & Responsibilities :
• Execute assigned monitoring activities and foresee reviews for supported Compliance programs by assigned due dates.
• Support various program management activities associated with the Nuveen Global Privacy Compliance program.
• Assistance with collecting, aggregating and preparing various metrics for manager review and reporting to various governance forums.
• Prepare and distribute supervisory reports in relation to gifts, meals and entertainment to sales and distribution leaders, in addition to documenting and tracking review completions.
• Administer aspects of Nuveen’s Licensing and Registration activities.
• Other tasks as necessary to provide support to the Nuveen Global Privacy Program and the Nuveen Compliance Distribution (Americas) Compliance programs.

Functional Knowledge:
• Knowledge of global Privacy regulations a plus.

Business or Industry Knowledge:
• A thorough understanding of compliance program elements (e.g., monitoring, procedures administration)
• Asset Management experience a plus.

Interpersonal Skills:
• Excellent verbal, written and interpersonal communication skills.

Skills and Abilities:
• Ability to prioritize workload and prioritize for effectiveness in meeting deadlines.
• Ability to work independently and adapt to changing and competing priorities.
• Advanced Microsoft Skills.

Preferred Education:
• BA/BS

Required Experience:
• 3-5 years

Preferred Experience:
• 5-10 years

#LI-RK1