Compliance - Marketing Compliance Senior Associate, based in London

Serve as a member of the Marketing & Communications Compliance (“MCC”) team responsible for providing advice and guidance regarding the applicability of regulatory requirements to Nuveen’s marketing activities. In particular, the role will focus on European and Asia regulations, such as the UK Financial Promotions regime, MiFID II marketing rules and CBDF Directive as well as internal review standards, and disclosure guidelines when reviewing and documenting the approval of marketing materials.  In addition, the role will provide Compliance input to new marketing initiatives, and oversight in relation to global and corporate marketing initiatives in emerging areas of communications/ technology, including the use of social media, website content development and functionality capabilities, digitalization, and mobile applications.

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. MCC works closely with other departments, such as 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 Nuveen’s marketing activities. This role requires in-depth industry knowledge and hands-on regulatory experience, such as a strong understanding of relevant European and Asian laws and regulation 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 closed-end funds, collective investment trusts, exchange-traded funds, private funds, separately managed accounts, non-listed REITs, joint ventures, and UCITS).

Duties and Responsibilities: The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.

• Review advertising, marketing and financial promotions (“marketing communications”) with limited supervision and identify potential issues as part of that review. Coordinate effectively with key stakeholders, , 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.
• Maintain policies and procedures regarding marketing communications content and review, such as various reference materials, and provide support to 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, in terms of both 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.

Qualifications:

Required:

• Degree educated
• 5+ years of experience in legal, compliance or a similar oversight function, particularly if dedicated to marketing review
• 1+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience

Preferred:

• Asset Management experience
• 5+ years of marketing review, advertising compliance, marketing compliance, and/or communication review experience
• 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 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.
• Fluent, or technically proficient in a second language, is a plus.
• 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

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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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