AVP, Compliance Advisor (Distribution Compliance (America))
TIAA / Nuveen · Chicago, United States +2 · 1d ago
AVP, Compliance Advisor (Distribution Compliance (Americas)
The AVP, Distribution Compliance supports the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity. This role executes day-to-day compliance operations and advises the business on regulatory and compliance matters. Working knowledge of a wholesale broker-dealer distribution model is a plus but not required.
Key Responsibilities and Duties
- Advise business partners on regulatory requirements and internal policies and procedures
- Develop and maintain policies and procedures supporting regulatory compliance
- Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
- Execute monitoring activities and forensic reviews, document results, and drive remediation
- Administer regulatory due diligence for broker-dealer and Canadian distribution arrangements, including product-related compliance matters
- Administer aspects of licensing and registration for the broker-dealer and Canadian entity
- Monitor regulatory developments and industry trends affecting the compliance programs
- Support document production for audits, testing, and regulatory examinations
Educational Requirements
- University (Degree) Preferred
Work Experience
- 3+ Years Required; 5+ Years Preferred
FINRA Registrations
- SRC Indicator: Series 7; Series 24
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
7IC
Required Skills
- 3 or more years of experience in regulatory compliance within financial services industry
- Experience with a distribution-oriented broker-dealer business model
- Familiarity with Alternatives asset classes, including registered and unregistered funds
- Series 7 and Series 24 licenses required, or ability to obtain both within 120 days from the date of hire.
Preferred Skills
- 5 or more years of experience in a regulatory compliance within financial services industry
- Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
- Bachelor's degree
- High proficiency in Microsoft Excel and PowerPoint
Anticipated Posting End Date:
2026-10-07Base Pay Range: $87,800/yr - $119,000/yrActual 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
Nuveen is a global investment leader, managing public and private assets for clients around the world and on behalf of TIAA, our parent company and one of the world’s largest institutional investors. We invest in the growth of businesses, real estate, infrastructure and natural capital, providing clients with the reliability, access and foresight unique to our heritage. Our prevailing perspective on the future drives our ambition to innovate and adapt our business to the changing needs of investors - all to pursue lasting performance for our clients, our communities and our global economy. Visit www.nuveen.com to learn more about us.
Our Culture of Impact
At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.
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 Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.
Our full EEO & Non-Discrimination statement is on our careers home page, and you can read more about your rights and view government notices 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: accessibility.support@tiaa.org
Drug and Smoking Policy
TIAA maintains a drug-free and smoke/free workplace.
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