Compliance - Marketing Compliance Senior Associate, based in London

The main focus of this role is to serve as a member of the Marketing Compliance team, responsible for reviewing marketing materials on behalf of Nuveen. The role will focus mainly on European and Asia Pacific regulations. This role requires in-depth industry knowledge and hands-on regulatory experience and a strong understanding of relevant European and Asian regulations in order to support marketing initiatives across the products and services offered by Nuveen.

Responsibilities:

• Review marketing communications to ensure compliance with applicable rules and internal procedures.

• Provide support and guidance to business stakeholders, including sales and marketing teams

• Research complex issues and help define actions necessary to resolve any concerns, escalating appropriately to management where needed.

• Develop and maintain marketing compliance policies and procedures.

• Ensure internal procedures reflect Nuveen’s risk and compliance standards as well as changes to the regulatory environment.

• Participate in business initiatives and projects requiring marketing compliance input

• Perform other day-to-day compliance related activities, as needed.

Requirements:

• 5+ years’ experience in a marketing compliance role, preferably in asset management.

• Strong analytical skills and ability to formulate, develop and execute strategic initiatives. High standard of accuracy and attention to detail.

• Strong written and oral communication skills with the ability to articulate regulatory considerations and concerns.

• Demonstrated knowledge of a broad range of financial products and related regulatory requirements including an understanding of UCITS, CBDF, MiFID II and AIFMD requirements.

• Motivated and a team player, but capable of using own initiative.

• Ability to work effectively under pressure and to tight deadlines.

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking

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Company Overview

Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, listed equities and alternatives.  Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future.  For more information about the firm please visit our website at www.nuveen.com

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