AVP. Marketing Compliance Senior Associate at TIAA in Dallas, TX

Job description

Enterprise Compliance Officer The Nuveen Marketing Compliance Senior Associate will serve as a member of Nuveen Global Marketing Compliance, supporting the review, approval, monitoring, and governance of Nuveen marketing materials and communications. This U.S.-based role will provide regulatory and compliance guidance to business partners, review marketing content for adherence to applicable U.S. rules and internal standards, support the continued evolution of the compliance review process, and help maintain a consistent, risk-based framework for marketing communications across Nuveen. Key Responsibilities and Duties Review advertising, marketing, sales literature, client communications, social media, website content, presentations, thought leadership, product materials, and other marketing communications for compliance with applicable rules, regulations, firm policies, disclosure standards, and internal review guidelines. Provide practical, commercially aware compliance guidance to Marketing, Product, Distribution, Legal, Broker-Dealer Compliance, International Compliance, and other business partners regarding marketing content, distribution, audience, disclosures, substantiation, and regulatory considerations. Identify, analyze, and resolve potential regulatory, reputational, disclosure, supervision, filing, recordkeeping, and process-related issues; escalate complex or higher-risk matters to management as appropriate. Support compliance 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 avoidance of misleading statements. Assist with FINRA filing determinations, coordination of filing-related comments, and implementation of applicable regulatory feedback in marketing materials. Partner with stakeholders on new products, campaigns, digital initiatives, web content, social media, presentations, cross-border materials, and other emerging areas of marketing communications and technology. Contribute to the development, maintenance, and enhancement of policies, procedures, review manuals, guidance documents, disclosure resources, checklists, training materials, and internal reference tools. Support the team’s monitoring and quality assurance program, 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 Nuveen 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. 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 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, separ