Compliance Advisor

2 days ago


Frisco, Texas, United States Nuveen Full time
Job Summary

Nuveen is seeking a highly skilled Compliance Advisor to provide critical support to its Global Client Services team. As a key member of the Compliance team, you will play a vital role in ensuring the company's compliance with securities laws and regulations.

Key Responsibilities
  • Develop and implement compliance programs to ensure adherence to regulatory requirements.
  • Conduct regular monitoring and reporting to identify potential compliance risks and issues.
  • Collaborate with cross-functional teams to ensure compliance with business processes and procedures.
  • Provide training and guidance to employees on compliance policies and procedures.
  • Stay up-to-date with regulatory changes and developments to ensure the company remains compliant.
Requirements
  • 3+ years of experience in compliance or a related field.
  • Series 7 and Series 24 securities registrations required.
  • Strong knowledge of securities laws and regulations.
  • Excellent communication and interpersonal skills.
Preferred Qualifications
  • 5+ years of experience in compliance or a related field.
  • Experience working in the securities industry.
  • Strong analytical and problem-solving skills.
  • Ability to work in a fast-paced environment.
What We Offer

Nuveen offers a comprehensive benefits package, including a competitive salary, comprehensive health and wellness benefits, and a 401(k) plan. We are an equal opportunity employer and welcome applications from diverse candidates.



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