AVP, Compliance Advisor (Distribution Compliance (America))
TIAAAVP, 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 Related Skills Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking Anticipated Posting End Date: 2026-10-07 Base Pay Range: $87,800/yr - $119,000/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). _____________________________________________________________________________________________________ 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, w…