AVP. Marketing Compliance Senior Associate
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 marketing content for adherence to applicable U.S. rules and internal standards, supports the 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 partners. It contributes to policies, procedures, training, monitoring, quality assurance, workflow improvements, recordkeeping, and regulatory change implementation. The role requires FINRA Series 7 and Series 24 registrations, working knowledge of U.S. rules applicable to investment adviser and broker-dealer marketing, and asset management experience and familiarity with traditional and alternative investment products.
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 work experience required.
Nice To Haves
- University degree preferred.
- At least 5 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.
- Ability to review complex marketing materials, identify potential issues, and communicate clear, practical recommendations to business partners.
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 rules, regulations, firm policies, disclosure standards, and internal review guidelines.
- Provide practical compliance guidance to business partners regarding marketing content, distribution, audiences, disclosures, substantiation, and regulatory considerations.
- Identify, analyze, and resolve potential regulatory, reputational, disclosure, supervision, filing, recordkeeping, and process issues; escalate complex or higher-risk matters to management as 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, coordinate filing-related comments, and implement applicable 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 areas 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, review of supporting documentation, identification of process gaps, documentation of observations, and communication of coaching or corrective actions.
- Assist with workflow, platform, and process improvement initiatives, including improvements related to 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 relevant regulatory developments and contribute to implementation planning, communication, training, and updates to internal standards when requirements change.
- 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.
- Potential participation in an incentive program linked to performance, depending on the role.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
