Enterprise Compliance Sr Associate

Serve as a member of the Enterprise Communications Compliance (“ECC”) 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.

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. ECC 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 the organization’s marketing activities. This role requires in-depth industry knowledge and regulatory experience, such as a strong understanding of applying FINRA, NAIC, 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). This role also requires knowledge regarding state insurance rules, Reg BI, and advisory/wealth regulations, to support lifetime income and annuity products and wealth-related materials offered through TIAA.

Key Responsibilities and Duties

• Review advertising, marketing and financial promotions (“marketing communications”) with limited supervision and ability to identify potential issues as part of that review and coordinate effectively 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 and creation of appropriate guardrails where needed.
• Develop and communicate recommendations that support adherence to regulations, industry best practices and inform marketing personnel of any changes in regulatory requirements relating to marketing materials and provide oversight in implementing those changes into appropriate collateral.
• Provide support to help keep disclosure resources and internal guidance / review checklists up to date, current and relevant. Contribute to periodic review of disclosure guides, review and propose new disclosures and consistency in application methodology, as a subject matter expert.
• Provide excellent customer service and support to internal partners with a positive attitude and set appropriate expectations in turnaround of materials to ensure defined service level standards continue to be met or exceeded, both in terms of timeliness and quality.
• Research complex issues and help define the actions necessary to resolve the situation and escalate appropriately to management where needed.
• Assist with internal and external examinations and audits as well as program administration and review of other materials where needed.
• Opportunities to lead, perform, and participate in special projects and other duties as assigned.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 3+ Years Required; 5+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
7IC

Qualifications:

Required:

• 1-3 years of marketing review, advertising compliance, marketing compliance, and/or communication review experience
• Series 7 and Series 24 securities registrations.

Preferred:

• 3-5 years of marketing review, advertising compliance, marketing compliance, and/or communication review experience
• Asset Management experience
• Life insurance and Annuity experience
• Former regulator a potential plus
• Familiarity with EMEA or APAC regulatory considerations and best practices stemming from global marketing and distribution efforts is a plus.
• The ideal candidate must be comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.
• Strong analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.
• Must have exemplary written and oral communication skills, which translates to the ability to interact effectively with business partners and colleagues.
• Must be able to articulate regulatory considerations and concerns, keeping abreast of regulatory developments surrounding marketing compliance and be able to nimbly respond to a rapidly changing and complex regulatory environment.
• Demonstrated knowledge of a broad range of financial products and related regulatory requirements.
• Technologically adept and savvy, both in terms of Marketing’s use of technology and the deployment of leading technology in relation to compliance processes. 
• Ability to exercise sound judgement in decision-making and problem-solving, being a forward thinker, able to anticipate problems and propose recommendations on how to solve for them.

Related Skills

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

Anticipated Posting End Date:

2024-11-26

Base Pay Range: $76,000/yr. - $121,000/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans). 

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Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

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

Read more about the Equal Opportunity Law here.

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities. 

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team: 

Phone: (800) 842-2755

Email: [email protected]

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