AVP. Marketing Compliance Senior Associate

TIAA • Frisco, TX

7d • Onsite

About The Position

The Nuveen Marketing Compliance Senior Associate is a U.S.-based member of Nuveen Global Marketing Compliance. The role supports review, approval, monitoring, and governance of Nuveen marketing materials and communications. It provides regulatory and compliance guidance to business partners, reviews content for compliance with applicable U.S. rules and internal standards, supports continued evolution of the compliance review process, and helps maintain a consistent, risk-based framework for marketing communications across Nuveen.

The position works with Marketing, Product, Distribution, Legal, Broker-Dealer Compliance, International Compliance, and other stakeholders. It supports compliance oversight across traditional and digital marketing channels, regulatory change implementation, quality assurance, recordkeeping, and process improvement. The role requires FINRA Series 7 and Series 24 registrations and working knowledge of U.S. investment adviser and broker-dealer marketing requirements.

Requirements

• FINRA Series 7 and Series 24 registrations.
• Working knowledge of U.S. regulatory requirements applicable to investment adviser and broker-dealer marketing communications, including SEC and FINRA standards.
• Asset management experience and familiarity with traditional and alternative investment products, including mutual funds, ETFs, closed-end funds, collective investment trusts, private funds, separately managed accounts, non-listed REITs, real estate, private credit, and other investment strategies.
• At least 3 years of required work experience.
• Ability to review complex marketing materials, identify potential issues, and communicate clear, practical recommendations to business partners.

Nice To Haves

• Five or more years of experience in marketing review, advertising compliance, investment management compliance, broker-dealer compliance, or communications compliance.
• Experience reviewing performance information, hypothetical performance, product-specific disclosures, third-party data, awards, ratings, ESG or responsible investing content, and cross-border or multi-jurisdictional marketing materials.
• University degree.

Responsibilities

• Review advertising, marketing and sales literature, client communications, social media, website content, presentations, thought leadership, product materials, and other marketing communications for compliance with applicable rules, firm policies, disclosure standards, and internal review guidelines.
• Provide practical compliance guidance to business partners on marketing content, distribution, audience, disclosures, substantiation, and regulatory considerations.
• Identify, analyze, and resolve regulatory, reputational, disclosure, supervision, filing, recordkeeping, and process-related issues; escalate complex or higher-risk matters to management when appropriate.
• Support review standards relating to the SEC Marketing Rule, FINRA communications rules, investment adviser advertising standards, hypothetical performance, testimonials and endorsements, third-party ratings, performance data, substantiation, fair and balanced presentation, and misleading statements.
• Assist with FINRA filing determinations, filing-comment coordination, and implementation of regulatory feedback in marketing materials.
• Partner with stakeholders on new products, campaigns, digital initiatives, web content, social media, presentations, cross-border materials, and emerging marketing communications and technology.
• Develop, maintain, and enhance policies, procedures, review manuals, guidance documents, disclosure resources, checklists, training materials, and internal reference tools.
• Support monitoring and quality assurance, including post-approval spot checks, supporting-documentation review, process-gap identification, documentation of observations, and communication of coaching or corrective actions.
• Assist with workflow, platform, and process improvement initiatives, including Norm Ai, disclosure management, substantiation repositories, queue management, metrics, and team information-sharing portals.
• Maintain accurate documentation of reviews, comments, approvals, escalations, supporting materials, and records in accordance with company policies and applicable recordkeeping requirements.
• Monitor regulatory developments and contribute to implementation planning, communications, training, and updates to internal standards.
• Participate in team meetings, working groups, disclosure forums, regulatory change discussions, audits, testing, examinations, and special projects as needed.

Benefits

• Comprehensive Total Rewards package.
• Superior retirement program.
• Competitive health, wellness, and work-life offerings.
• Depending on the role, participation in an incentive program linked to performance.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior